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Full text of "North Carolina Register v.7 no. 15 (11/2/1992)"

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The 
NORTH CAROLINA 

REGISTER 



IN THIS ISSUE 




EXECUTIVE ORDERS 

IN ADDITION 

Final Decision Letters 

PROPOSED RULES 
Community Colleges 
Economic and Commimity Development 
Environment, Health, and Natural Resources 
Human Resources 
Justice 
Nursing, Board of 



RRC OBJECTIONS 
CONTESTED CASE DECISIONS 
ISSUE DATE: November 2, 1992 



RECEIVED 

NOV 4 1992 
LAW LIBRARY 



Volume 7 • Issue 15 • Pages 1464-1640 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMTNTSTRATTVE CODE 



NORTH CAROLINA REGISTER 



TEMPORARY RULES 



TTie North Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each county in the state and to various state officials and 
institutions. 

The North Carolina Register is available by yearly subscription 
at a cost of one hundred and five dollars (S105.00) for 24 issues. 
Individual issues may be purchased for eight dollars (S8.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, 
P. 0. Drawer 27447, Raleigh, N. C. 27611-7447. 



Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions in 
G.S. 150B-21.1. If the Codifier determines that the findings meet 
the criteria in G.S. 150B-21.1, the rule is entered into the NCAC. If 
the Codifier determines that the fmdings do not meet the criteria, 
the rule is returned to the agency. The agency may supplement its 
findings and resubmit the temporary rule for an additional review 
or the agency may respond that it will remain with its initial 
position. The Codifier, thereafter, will enter the rule into the 
NCAC. A temporary rule becomes effective either when the 
Codifier of Rules enters the rule in the Code or on the sixth 
business day after the agency resubmits the rule without change. 
The temporary rule is in effect for the period specified in the rule or 
180 days, whichever is less. An agency adopting a temporary rule 
must begin rule-making procedures on the permanent rule at the 
same time the temporary rule is filed with the Codifier. 



ADOPTION AMENDMENT, AND REPEAL OF 
RULES 



NORTH CAROLINA ADMINISTRATIVE CODE 



The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority, please consult Article 2A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may request 
a hearing); a statement of procedure for public comments: the text 
of the proposed rule or the statement of subject matter; the reason 
for the proposed action; a reference to the statutory authority for the 
action and the proposed effective dale. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule tliat 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file 
the rule with the Rules Review Commission (RRC). After approval 
by RRC, the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 business 
days after the rule is filed with the Office of Administrative 
Hearings for publication in the North Carolina Administrative Code 
(NCAC). 

Proposed action on rules may be withdrawn by the promulgating 
agency at any time before final action is taken by the agency or 
before filing with OAH for publication in the NCAC. 



The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 38 occupational licensing boards. The NCAC 
comprises approximately 15,000 letter size, single spaced pages of 
material of which approximately 35% of is changed annually. 
Compilation and publication of the NCAC is mandated bv G.S. 
150B-21.18. 

The Code is di\'ided into Titles and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents (S2.50) for 10 pages or less, 
plus fifteen cents (SO. 15) per each additional page. 

(2) The full publication consists of 53 volumes, totaling in 
excess of 15,000 pages. It is supplemented monthly 
with replacement pages. A one year subscription to the 
full publication including supplements can be 
purchased for seven hundred and fifty dollars 
(8750.00). Individual volumes may also be purchased 
with supplement service. Renewal subscriptions for 
supplements to the initial publication are available. 

Requests for pages of rules or volumes of the NCAC should be 
directed to the Office of Administrative Hearings. 



CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 1:1 NXR 101-201, April 1, 1986 refers to 
Volume 1, Issue 1, pages 101 through 201 of the North Carolina 
Register issued on April 1, 1986. 



FOR INFORMATION CONTACT: Office of 
Administrative Hearings, ATTN: Rules Division, P.O. 
Drawer 27447. Raleigh, North Carolina 27611-7447, (919) 
733-2678. 



NORTH 
CAROLINA 
REGISTER 




Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, North Carolina 27611-7447 

(919) 733-2678 



Julian Mann III, 

Director 
James R. Scarcella St., 

Deputy Director 
Molly Masich, 

Director of APA Services 



Staff: 

Ruby Creech. 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley, 

Editorial Assistant 



ISSUE CONTENTS 

I. EXECUTIVE ORDER 

Executive Order 178 1464 

II. IN ADDITION 

Final Decision Letters 1465 

III. PROPOSED RULES 
Community Colleges 

Community Colleges 1535 

General Provisions 1531 

Miscellaneous Programs 1598 

Economic and Community 
Development 
Banking Commission 1467 

Environment, Health, and 
Natural Resources 

Coastal Management 1507 

Environmental Management .... 1487 
Radiation Protection Commission . 1520 

Human Resources 
Social Services Commission .... 1471 

Justice 

N.C. Alarm Systems Licensing 
Board I486 

Licensing Boards 
Nursing, Board of 1528 

IV. RRC OBJECTIONS 1609 

V. CONTESTED CASE DECISIONS 

Index to ALI Decisions 1613 

Text of Selected Decisions 

91 EHR 0446 1628 

92 DOJ 0130 1632 

VI. CUMULATIVE INDEX 1638 



NORTH CAROLINA REGISTER 

Publication Schedule 

(August 1992 - December 1993) 







Last Day 


Earliest 


Earliest 










for Elec- 


Date for 


Date for 


Last Day 


^Earliest 


Issue 


Last Day 


tronic 


Public 


Adoption 


to Submit 


Effective 


Date 


for Filing 


Filing 


Hearing 


by Agency 


to RRC 


Date 


08/03/92 


07/13/92 


07/20/92 


:i; :A: >!< ;^ >ii: ^ ^ 

08/18/92 


09/02/92 


09/20/92 


:4c ii< :i: :i: :,£ :i< ^ 

11/02/92 


08/14/92 


07/24/92 


07/31/92 


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09/20/92 


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08/25/92 


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09/30/92 


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10/20/92 


12/01/92 


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09/10/92 


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10/31/92 


11/20/92 


01/04/93 


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09/24/92 


10/01/92 


10/30/92 


11/14/92 


11/20/92 


01/04/93 


11/02/92 


10/12/92 


10/19/92 


11/17/92 


12/02/92 


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02/01/93 


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10/23/92 


10/30/92 


12/01/92 


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12/20/92 


02/01/93 


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11/06/92 


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12/31/92 


01/20/93 


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1 1 /20/93 


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11/01/93 


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03/01/94 



* 77?^^ "Earliest Effective Date" is computed assuming that the agency follows the 
publication schedule above, that the Rules Review Conunission approves the rule at 
the next calendar month meeting after submission, and that RRC delivers the rule to 
the Codifier of Rules five (5) business days before the 1st business day of the next 
calendar month. 



EXECUTIVE ORDER 



EXECUTIVE ORDER NUMBER 178 

WAIVING CERTAIN PENALTIES 

PURSUANT TO CHAPTER 166 A 

OF THE GENERAL STATUTES 

OF NORTH CAROLINA 

WHEREAS, this year's sweet potato crops 
("yams") are among the largest in recent years; 
and 

WHEREAS, the recent heavy rainfall has caused 
an increase in the weight of the yams in the fields 
due to soil moisture and water saturation; and 

WHEREAS, substantial portions of the crops 
may be lost if they are not removed from the fields 
soon; and 

WHEREAS, there is a substantial likelihood that 
the farmers of the state will be unable to remove 
their yams from the fields before crop deteriora- 
tion occurs (with the equipment now available to 
them for that purpose) if they are required to 
adhere to the weight restrictions presently imposed 
by N.C.G.S. 20-88, 10-96, and 20-118; and 

WHEREAS, under the provisions of N.C.G.S. 
166A-4(3) and 166A-6(c)(3), the Governor, with 
the concurrence of the Council of State, may 
waive the penalties for exceeding the weight limits 
imposed by said statutes in the event of an immi- 
nent threat of widespread damage from a natural 
or man-made accidental cause within the meaning 
of N.C.G.S. 166A-4(3)and 166A-6(c)(3); and 



waive penalties arising under N.C.G.S. 20-88, 20- 
96, and 20-118 that otherwise would be assessed 
against vehicles transporting unprocessed yams to 
processing facilities on the highways of the State. 

Section 2. Notwithstanding the waivers set forth 
above, penalties shall not be waived under the 
following conditions: 

(1) When the vehicle weight exceeds the 
maximum gross vehicle weight criteria 
established by the manufacturer 
(GVWR) or 90,000 pounds gross vehi- 
cle weight, whichever is less. 

(2) When tandem axle weights exceed 
42,000 pounds and single axle weights 
exceed 22,000 pounds. 

Section 3. The vehicles described above will be 
exempt from the vehicle licensing and tax require- 
ments of N.C.G.S. 105, Subchapter 5, Article 
36B. 

Section 4. This Order shall not be in effect on 
highways of the Interstate Highway System and 
bridges posted pursuant to N.C.G.S. 136-72. 

Section 5. This Order shall be effective immedi- 
ately and shall remain in effect until November 15, 
1992. 

Done in the Capital City of Raleigh, North 
Carolina, this the 15th day of October , 1992. 



WHEREAS, with the concurrence of the Council 
of State, I have found that because (i) they must 
adhere to the weight restrictions of N.C.G.S. 20- 
88. 20-96 and 20-1 18, farmers may be unable to 
remove their yams from the fields soon enough, 
(ii) their inability to do so likely will result in 
damages to their crops causing them to suffer 
losses and, therefore, (iii) there is an imminent 
threat of widespread damage from a natural or 
man-made accidental cause within the meaning of 
N.C.G.S. 166A-4(3); 

THEREFORE, pursuant to the authority vested 
in me by the Constitution and laws of this State 
and with the concurrence of the Council of State, 
it is ORDERED: 

Section 1. The Division of Motor Vehicles shall 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1464 



IN ADDITION 



G.S. ] 20-30. 9H, effective July 16, 1986, requires that all letters and other documents issued by the 
Attorney General of the United States in which a final decision is nuide concerning a "change affecting 
voting " under Section 5 of the Voting Rights Act of 1965 he published in the North Carolina Register . 



U.S. Department of Justice 

Civil Rights Division 

JRD:GS:FHD:tib Voting Section 

DJ 166-012-3 P.O. Box 66128 

92-3551 Washington, D.C. 20035-6128 

September 20, 1992 

Robert C. Cogswell, Jr., Esq. 

City Attorney 

P. O. Box 1513 

FayetteviUe, North Carolina 28302-1513 

Dear Mr. Cogswell: 

This refers to the salary increase for the mayor, mayor pro tem and the city council of the City of 
FayetteviUe in Cumberland County, North Carolina, submitted to the Attorney General pursuant to Section 
5 of the Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received your submission on August 
4, 1992. 

The Attorney General does not interpose any objection to the specified change. However, we note 
that Section 5 expressly provides that the failure of the Attorney General to object does not bar subsequent 
litigation to enjoin the enforcement of the change. See the Procedures for the Administration of Section 5 (28 
C.F.R. 51.41). 

Sincerely, 

John R. Dunne 

Assistant Attorney General 

Civil Rights Division 



By: 



Steven H. Rosenbaum 
Chief, Voting Section 



1465 7:15 NORTH CAROLINA REGISTER November 2, 1992 



IN ADDITION 



U.S. Department of Justice 

Civil Rights Division 

JRD:LLT:BMT:tlb Voting Section 

DJ 166-012-3 P.O. Box 66128 

92-3515 - - Washington, D.C. 20035-6128 

October 20, 1992 



Michael Crowell, Esq. 
Tharrington. Smith & Hargrove 
P. O. Box 1151 
Raleigh, North Carolina 27602 

Dear Mr. Crowell: 

This refers to the Chapter 809 (1992), which provides for a seven-member board of education elected 
from single-member districts, by a substantial plurality as provided under state law for party primaries, for 
regular four-year terms staggered 3-4 and establishes candidate qualifications, runoff pro\'isions, an 
implementation schedule, procedures for filling vacancies, and a districting plan for the Edgecombe County 
School District in Edgecombe County, North Carolina, submitted to the Attorney General pursuant to Section 
5 of the Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received your submission on August 
3, 1992. 

The Attorney General does not interpose any objection to the specified changes. However, we note 
that Section 5 expressly provides that the failure of the Attorney General to object does not bar subsequent 
litigation to enjoin the enforcement of the changes. See the Procedures for the Administration of Section 5 
(28 C.F.R. 51.41). 

Sincerely, 

John R. Dunne 

Assistant Attorney General 

Civil Rights Division 



By: 



Steven H. Rosenbaum 
Chief, Voting Section 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1466 



PROPOSED RULES 



TITLE 4 - DEPARTMENT OF 

ECONOMIC AND COMMUNITY 

DEVELOPMENT 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Banking Com- 
mission intends to adopt rules cited as 4 NCA C 3F 
.0201. .0301 - .0304. .0401 - .0403. .0501 - 
.0509. .0601. .0602. .0701 and repeal rides cited 
as 4 NCAC 3F .0001 - .0003. 

1 he proposed effective date of this action is 
February 1. 1993. 

1 he public hearing will be conducted at 9:00 
a.m. on November 17. 1992 at the Dobbs Build- 
ing, Suite 6210. 430 North Sali.'ibury Street, 
Raleigh. NC. 

ixeason for Proposed .Action: Money Transmit- 
ters. Codified at Chapter 53, .Article 16. of the 
North Carolina General Statutes was extensively 
revised effective October 1. 1992. Tlie Banking 
Commission proposes to adopt new rules to reflect 
the statutory changes. 

K^onunent Procedures: Comments must he submit- 
ted in writing not later than Wednesday . December 
2. 1992. Written comments should be directed to: 
T. Mercedes Oglukian. Assistant General Counsel, 
North Carolina Banking Commission, P.O. Box 
29512. Raleigh. NC 27626-051 2. 



CHAPTER 3 - BANKING COMMISSION 

SUBCHAPTER 3F - LICENSEES UNDER 
MONEY TRANSMITTERS ACT 

.0001 APPLICATION FOR LICENSE 

No p e rson, oth e r than tho oe e xempt e d by G.S. 
53 195, may s e ll or i ss ue ohccks in thi s s tate as a 
s e rx ic e or for a fee or oth e r consid e ration without 



tirst obtaining a license from th e C ummmsion e r ot 
BanJcg. — Application for a license shall be accom 
pli s h e d by th e e xecution of Form NC SCA and th e 
paym e nt of th e s tatutory inve s tigation fee. — That 
form contains a r e qu e st for a lic e n s e to op e rat e a 
bu s in ess of se lling and — issuing ch e ck s . — money 
instrum e nts as u s e rvic e or for a 



statutory requirements and criteria. The form may 

be obtained from and should be filed with: 

The Commissioner of Banks 

P.O. Box 951 

Raleigh. North Carolina 27602. 

Statutory Authority G.S. 53-92; 53-194: 53-196: 
53-197. 

.0002 ISSUANCE OF LICENSE 

Following the receipt of Form NC SCA. th e 
Commi ss ioner of Bank s will investigate the facts 
and upon a determination by him that all s tatutory 
requirements and criteria have been satisfied he 
s hall is s ue a license. Form NC SCA — h — Such 
licen s e shall be renewed annually. 

Statutory Authoritx G.S. 53-92: 53-194; 53-200. 



.0003 REQUIRED REPORTS 

Each licen s ee will s ubmit to the Commis s ioner of 
Banks annually on or before June 30th evidence 
that the required bond i s in effect, a s well as 
certified — financial — s tatement s — aftd — a — Itst — of the 



l ocations, including agencie s , at which the licensee 
engages in the business of selling checks in this 
s tate. 

Statutory Authority^ G.S. 53-92; 53-198; 53-204. 

SECTION .0200 - ADMINISTRATIVE 

.0201 DEFINITIONS 

(a) As used [n the Rules, unless the context 
clearly requires otherwise: 

LLi Terms defined m G.S. 53-193 shall 

have the same meaning as set forth 

therein; 



ord e rs 



oth e r 



f ee or oth e r consid e ration and incorporat es all 



(2) "Money Transmitters Act" shall mean 
the Money Transmitters Act codified at 
Chapter 53. Article J_6 of the North 
Carolina General Statutes (G.S. 53-192. 
et seq.); 

(3) "State" shall mean the .State of North 
Carolina; 

(4) "Applicant" shall mean a person who 
applies for a license under the Money 
Transmitters Act; 

(5) "Controlling person" shall mean any 
10% equity owner of an applicant or 
licensee; 

(6) "Executive officer" shall mean any 
employee (other than a director) of the 
applicant or licensee who participates in 
or has the authority to participate m 



1467 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



major policymaking decisions, 
fb) An application for a license, amendment to 
the application, annual statement, notice, or any 
other document which is required by law or 
regulation to be filed with the Commissioner shall 
be addressed as follows: 

Commissioner of Banks 

Post Office Box 295 1 2 

Raleigh, North Carolina 27626-0512 

Statutory Author it}' G.S. 53-193; 53-196: 53- 
206.1; 150B-21.2. 

SECTION .0300 - LICENSING 

.0301 APPLICATION FOR A LICENSE 

(a) Any person who wishes to sell or issue 
checks jn this State pursuant to the Money Trans- 
mitters Act must first obtain a license issued by the 
Commissioner. An application for a license can be 
obtained from and should be filed pursuant to Rule 
.020 Kb) of this Subchapter. 

(b) An application for a Money Transmitters' 
license shall include the following: 

(1) Certified copies of the following docu- 
ments, where applicable: 

(A) The applicant's Articles of Incorpora- 
tion, limited partnership agreement, 
or other organizational documents, 

(B) A certified copy of the applicant's 
Assumed Name Certificate. 

(C) A Certificate of Existence or Certifi- 
cate of Good Standing from the 
applicant's state of incorporation. 

(D) A Certificate of Authority to do busi- 
ness in this State; 

(2) A description of the applicant's busi- 
ness experience, operations and organi- 
zational structure; 

(3) The identity of the applicant's control- 
ling persons and their percentage of 
equity ownership; 

(4) If the applicant is not a publicly traded 
corporation, or a subsidiary of such 
corporation, the identity, business 
experience, education and financial 
information of its executive officers and 
directors; 

(5) Disclosure of any criminal proceedings 
pending against or criminal convictions 
entered against the applicant, its direc- 
tors or executive officers; 

(6) Disclosure of any civil proceedings 



pending against or civil judgments 



entered against the applicant, ks direc- 
tors or executive officers which involve 
fraud, dishonesty or like offense; 

(7) Disclosure of any of the following 
proceedings involving the applicant, its 
subsidiaries or parent: bankruptcy; 
assignment for the benefit of creditors; 
receivership; conservatorship; enforce- 
ment proceedings resulting in the revo- 
cation or suspension of a license or 
other privilege to sell or issue checks in 
any state; 

(8) The name and location of each agent 
and subagent authorized by the appli- 
cant to sell its checks in this State; 

(9) A certified consolidated financial state- 
ment of the applicant for the previous 
fiscal year, or where the applicant is a 
wholly-owned subsidiary of another 
corporation, the certified independent 
financial statement (not consolidated 
with the parent company) of the appli- 
cant and, either the certified consolidat- 
ed financial statement of its parent for 
the previous fiscal year, or the most 
recent lOK report filed with the Securi- 
ties and Exchange Commission by its 
parent; 

(10) A specimen copy of the checks to be 
sold or issued by the applicant within 
this State; 

(11) A copy of the applicant's authorized 
agent agreement or contract; 

(12) A surety bond as set forth in G.S. 53- 
198 or evidence of compliance with 
G.S. 53-l99(b). 

(c) In addition to the documents and information 
listed in Paragraph (b) of this Rule, the Commis- 
sioner may require additional information neces- 
sary to complete an investigation pursuant to G.S. 
53-200. 

(d) Incomplete application files may be closed 
and deemed denied without prejudice when the 
applicant has not submitted information requested 
by the Commissioner within 30 days of such 
request. 

Statutory Authority G.S. 53-194; 53-196; 53-198; 
53-1 99(h); 53-200; 53-206. 1; 150B-21.2. 

.0302 ISSUANCE OF A LICENSE 

On receipt of a completed application and pay- 
ment of the investigation fee required by G.S. 53- 
197. the Commissioner will investigate the appli- 
cant pursuant to G.S. 53-200. If the Commission- 



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1468 



PROPOSED RULES 



er Finds that the applicant has met the provisions of 
G.S. 53-200, the Commissioner shall issue the 
applicant a license. 

Statutory- Authority G.S. 53-197: 53-200: 53- 
206.1: 150B-21.2. 

.0303 LICENSE FEES 

A licensee shall pay a license fee of one thousand 
dollars ($1 .000) within five days after the issuance 
of the license and annually thereafter on or before 
December 3 1 of each year. 

Statutory Authority G.S. 53-202: 53-206.1: 150B- 
21.2. 

.0304 AGENT LOCATION FEE 

A licensee shall pay to the Commissioner within 
five days after the issuance of a license, and 
annually thereafter on or before December 31 of 
each year, an agent location fee of ten dollars 
($10.00) for each location within this .State at 
which its checks are sold. Notwithstanding the 
number of locations within this State, the agent 
location fee shall not exceed five thousand dollars 



($5.000) per annum for each licensee. 

Statutory Authority G.S. 53-202: 53-206.1: 150B- 

21 2 



SECTION .0400 - OPERATIONS 

.0401 CERTIFICATE OF AUTHORITY 

A licensee shall issue a certificate of authority 
for each location at which its checks are sold or 
issued. The certificate must be posted in public 
view and shall state as follows: "Checks of (li- 
censee) are sold at this location pursuant to Section 
7 of the Money Transmitters Act (N.C. Gen. Stat. 
j? 53-203)." 

Statutory Authority G.S. 53-203: 53-206.1: 1508- 
21.2. 

.0402 REQUIRED AND PERMISSIBLE 
INVESTMENTS 

Unencumbered direct or indirect obligations of 
the United States, any agency or instrumentality 
thereof and general obligations of this or any state, 
county or other political subdivision thereof shall 
have a minimum rating of BAA by Moody's 
Investors Service or BBB by Standard and Poors. 



.0403 SURRENDER OF LICENSE 

A licensee shall surrender its license to the 
Commissioner no later than 30 days after it has 
ceased operations in this State. 

Statutory Authority G.S. 53-206.1: 1503-21. 2. 

SECTION .0500 - REPORTEVG AND 
NOTIFICATIONS 

.0501 GENERALLY ACCEPTED 

ACCOUNTING PRINCIPLES 

For the purposes of the Money Transmitters Act 
and this Subchapter, all required Financial state- 
ments shall be prepared according to generally 
accepted accounting principles. 

Statutory Authority G.S. 53-204(a): 53-206.1: 
150B-21.2. 

.0502 STATEMENT OF NET WORTH 

The statement of net worth required by G.S. 53- 
204(a) shall include: 
(1) A certified consolidated Financial state- 



121 



13] 



ment of the licensee for the previous 
Fiscal year; 

If the licensee is a wholly-owned subsid- 
iary, it must provide its certified indepen- 
dent Financial statement (not consolidated 
with the parent company), and either the 
certiFied consolidated Financial statement 
of hs parent for the previous Fiscal year 
or the most recent lOK report Filed with 
the Securities and Exchange Commission 
by its parent; 

The statement of net worth described in 
Items (1) and £2J of this Rule shall be 
Filed no later than April 30 for the pre- 
ceding Fiscal year. 



Statutory .Authority G.S. 
1508-21.2. 



53-204(a): 53-206.1: 



.0503 ANNUAL STATEMENT 

(a) On or before December 31 of each year, a 
licensee must File an annual statement which can 



Statutory Authority G.S. 53-193: 53-199.1: 
206.1: 150B-21.2. 



53- 



be obtained from and should be Filed pursuant to 
Rule .0201(b) of tjiis Subchapter. 

(b) The annual statement referenced in Para- 
graph (a) of this Rule shall include the following: 
(1) The address ot" the offices at which the 
licensee sells or issues checks in this 
State and the names and locations of the 
persons authorized by the licensee to 
sell or issue checks in this State; 



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PROPOSED RULES 



(2) A Certificate of Continuation of the 
surety bond required by G.S. 53-198 or 
evidence of continued compliance with 
G.S. 53-199(b); 

(3) A Certificate of Existence or Certificate 
of Good Standing from the state of 
incorporation, where applicable. 

Statutory Authority G.S. 53-198; 53-1 99(b); 53- 
204(a); 53-206. 1; 150B-21. 2. 

.0504 AGENT ACTIVITY REPORTS 

A licensee shall file each quarter, for the quarter 
then ended, a report of agent activity which con- 
tains the following information: 

( 1 ) The name of each agent or subagent in 
this State and the address at which he 
sells or issues checks in this State; 

(2) The total number and dollar amount of 
the checks sold or issued by each agent 
or subagent in this State. 



WORTH 

A licensee must immediately notify the Commis- 
sioner in writing if. at any time, it fails to meet the 
minimum net worth requirement of G.S. 53-201 . 
The notification shall be accompanied by a detailed 
plan to restore the minimum net worth. 

Statutory Authority G.S. 53-201; 53-206.1; 150B- 
21.2. 

.0509 DISHONOR OR DEFAULT IN 
PAYMENT INSTRUMENT 

A licensee must immediately notify the Commis- 
sioner in writing if it dishonors or defaults in the 
payment of any check sold or issued because it 
lacks the funds to honor the check. 

Statutory Authority G.S. 53-206.1; 150B-21.2. 

SECTION .0600 - EXAMINATION; BOOKS 
AND RECORDS 



Statutory Authority G.S. 53-204(a); 53-206.1; 
1503-21. 2. 

.0505 AMENDMENTS TO APPLICATION 

A licensee must maintain a current application 
with the Commissioner. If the information con- 
tained in the application is or becomes inaccurate 
in any material respect, the licensee shall file a 
correcting amendment as soon as practicable, but 
in no event later than 30 days after the effective 
date of such change. An amendment to the appli- 
cation can be obtained from and should be filed 
pursuant to Rule .0201(b) of this Subchapter. 

Statutory: Authority G.S. 53-206.1; 1508-21. 2. 

.0506 REVOCATION OR CANCELLATION 
OF SURETY BOND 

A licensee must immediately notify the Commis- 
sioner in writing of revocation or cancellation of 
its surety bond furnished pursuant to G.S. 53-198. 

Statutory Authority G.S. 53-198; 53-206.1; 150B- 
21.2. 

.0507 CEASEVG OPERATIONS 

A licensee must immediately notify the Commis- 
sioner in writing of its decision to cease operations 
in ttiis State under the Money Transmitters Act. 

Statutory Authority G.S. 53-206.1: 150B-21.2. 

.0508 IMPAIRMENT OF MINIMUM NET 



.0601 RECORD AND BOOKKEEPING 
REQUIREMENTS 

(a) Licensee. Each licensee shall maintain at an 
office the following: 



m 

13} 
14] 



A record of outstanding checks sold; 

liabilities and 



A statement of assets, 
owner's equity; 

A statement of income and expenses for 
the current fiscal year to date; 
A ledger of dormant checks sold in this 
State. The ledger shall detail the date 
of issuance and the amount of the 
check, 
(b) Agent. Each agent shall maintain at [ts 
office a record of the disposition of all checks 
received from the licensee. The record shall 
contain an accounting of aU proceeds from those 
checks paid to the licensee and all proceeds due to 
the licensee. 



Statutory Authority G.S. 
150B-21.2. 



53-204(h); 53-206.1; 



.0602 EXAMINATION FEE 

Each licensee shall pay the cost of an examina- 
tion conducted by the Commissioner or his 
designee pursuant to G.S. 53-204(b). The cost of 
such examination shall be the hourly rate estab- 
lished annually by resolution of the North Carolina 
State Banking Commission pursuant to 4 NCAC 
3C . 1601(b), plus travel expenses and the per diem 
subsistence allowance provided for State employ- 
ees pursuant to G.S. 138-5 through G.S. 138-7. 



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November 2, 1992 



1470 



PROPOSED RULES 



and an\' regulations promulgated thereunder. 

Staniton.- Authority G.S. 53-204(h): 53-206.1; 
150B-21.2. 

SECTION .0700 - LICENSE REVOCATION 



SUBCRAPTER 41 E - LICENSEV'G OF 
GROUP HOMES FOR CfflLDREN 

SECTION .0500 - MINIMUM STANDARDS 

FOR PRIVATE AND PUBLIC GROUT 

HOMES 



.0701 HE.ARINGS 

Any hearings conducted pursuant G.S. 53-206 
and 53-207 shall proceed in accordance v.ith 4 
NCAC 3B .0200 et seq.. and Chapter 150B of the 
North Carolina General Statutes. 

Statutory Authority G.S. 53-206: 53-206.1: 53- 
207: 150B-21.2. 

TITLE 10 - DEPARTMENT OF HUAL\N 
RESOURCES 

[Notice /-v hereby i>i\cn in accordance with G.S. 
150B-21.2 that the Social Services Conwiission 
intends to amend rules cited as 10 NCAC 41 E 
.0514: 41 G .0602. .1102: 41 R .0003. 

1 he proposed effective date of this action is 
March 1. 1993. 

1 he public hearing will be conducted at 10:00 
a.m. on December 2. 1992 at the Division of 
Social Services, .Albenuirle Building. Room 943-2. 
325 .V. Salisbury St.. Raleigh. .\'.C. 

IVeason for Proposed Action: To bring state 
regulations into compliance with ADA recently 
enacted .Americans with Disabilities Act. 

(comment Procedures: Convyients may be pre- 
sented in writing before or at the public hearing or 
orally at the hearing. Time limits for oral remarLs 
may be imposed by the Conwiission Chairman. 
.Any person may request copies of these Rules by 
calling or writing to Don Bowen, Division of 
Social Services, 325 N. Salishur}- St. . Raleigh. NC 
27603. (919) 733-3055. 

hiditor's \ote: These Rules were filed as tempo- 
rary amendments effective October 14, 1992 for 
a period of 180 days or until the permanent rule 
becomes effective, whichever is sooner. 

CHAPTER 41 - CHILDRENS SER\TCES 



.0514 CHILD CARE AND DEVELOPMENT: 
HE.ALTH 

(a) Medical Program. E\ery' group home shall 
ha\e a planned program of medical care. 

(1) Medical Requirements for Admission. 
No child shall he accepted into a group 
home without having had a physical 
examination within 90 days prior to 
admission, which shall include a signed 
statement by a physician. ph\'sician' s 
assistant or nur s e practitioner that the 
child appears to bo freo of oommunioa 
blc diseases, and spoeif\'ing any modi 
eal — conditions — &fs4 — defects — the child 
might haw. from a licensed medical 
provider specifying the child's current 
medical condition and medications 
prescribed and indicating the presence 
of any communicable disease or medi- 
cal condition which may pose a signifi- 
cant risk of transmission in the facility. 
If a child is in the custody of a depart- 
ment of social services, is already 
scheduled to have and is having a phys- 
ical completed annually, and is entering 
a private group home, the schedule of 
annual physicals shall not be changed. 
Howe\'er a copy of the most recent 
physical shall be sent by the responsible 
department of social services to the 
pri\ate group home for the child's 
record there except that in shelter 
homes, the physical examination and 
statement shall be obtained within one 
week of a child's admission. 
fiA) — The medical examination shall include 
a tuberculin te s t (or x ray if there has 
been a history' of contacts), an exami 
nation for intestinal parasites, and a 
blood — test — f&f — \enereal — disease — if 
indicated. 
{B) — If these tests prove positixe. treatment 
s hall be given immediately, and ad 
mission to the home delayed — until 
further tests show the child to — be 
noninfectious. 
\Qi — A child admitted to a group home 
shall be immunized against diphtheria. 



1471 



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PROPOSED RULES 



tetanus, whooping cough, poliomyeli- 
tis, red measles (rubeola), and rubella 
prior to admission, or as soon after as 
practical. Documentation of these 
immunizations shall be obtained with- 
in 30 days of a child's admission. 

(2) Medical Care. Arrangements shall be 
made with at least one licensed physi- 
cian and one dentist for the care of 
children in the home. 

(3) Hospital Care. Arrangements shall be 
made with a hospital for the admission 
of children from the group home in the 
event of serious illness or in an emer- 
gency. 

(4) First Aid. 

(A) Houseparents shall receive training 
and be able to administer first aid. 

(B) First aid kits shall be available for 
instant use. 

(5) Home Medical Care Practices. 

(A) Houseparents shall be able to recog- 
nize the common symptoms of illness- 
es of children and to note any marked 
physical or emotional handicaps of 
children. 

(B) A sterile clinical thermometer shall be 
kept available for use. 

(C) No medication shall be given except 
under the direction of a physician. 

(D) Medicine supply cabinets shall be kept 
locked when not in immediate use. 

(6) Medical Records. Each child shall 
have a personal medical record avail- 
able which shall include: 

(A) the statement of the physician who 
examined him at the time of admis- 
sion to the home; 

(B) a record of his immunizations; this 
record shall be obtained within 30 
days of a child's admission to the 
home; 

(C) consent of parents or guardians for 
medical care; 

(D) a record of the medical care and 
examinations given while in care, 
including a record of hospitalizations, 
significant illnesses or accidents, and 
treatment given. 

(7) Dental Records. Included in a child's 
medical record shall be a dental record, 
showing dates of examinations and by 
whom given. 

(b) Routine Aspects of Health, Personal Hy- 
giene, and Safety. 



(1) Sleep. Each child in a group home 
shall have enough sleep for his age at 
regular and reasonable hours and under 
conditions conducive to rest. While 
children are asleep, at least one staff 
member shall be near enough to hear 
calls. 

(2) Hygiene. Children shall be taught and 
helped to keep themselves clean. They 
shall receive training in all aspects of 
personal hygiene. Bathing and toilet 
facilities shall be in working order and 
kept clean. 

(3) Toilet Articles. 

(A) Each child shall have his own clearly 
identified toothbrush, comb, towel 
and wash cloth and his own separate 
place for keeping these personal 
articles. 

(B) Towels, wash cloths, and bed linens 
shall be changed weekly or more 
often as required by good hygiene. 

(4) Safety. Any child care staff transport- 
ing a child less than two years of age 
shall have such child properly secured 
in a child passenger restraint system 
which is of a type and which is in- 
stalled in a manner approved by the 
Commissioner of Motor Vehicles. 

(c) Nutrition. 

(1) Meals served to all children shall pro- 
vide for their nutritional requirements 
as advised by the National Research 
Council (Recommended Daily Dietary 
Allowances). 

(2) Any modified food needs of an individ- 
ual child shall be provided under the 
direction of a physician. 

(3) The menus shall be planned by or in 
consultation with a registered nutrition- 
ist or dietitian. 

Statuton' Authority G.S. 13ID-10.5; 143B-153. 

SUBCHAPTER 41 G - MINIMUM 

STAIVDARDS FOR CHILD CARING 

INSTITUTIONS 

SECTION .0600 - PRIVATE INSTITUTION 
SOCIAL SERVICES 

.0602 ADMISSION SERVICES 

(a) Admission policies shall be clearly defined in 
writing and available to persons or agencies mak- 
ing inquiries. Admission policies shall be careful- 



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November 2, 1992 



1472 



PROPOSED RULES 



ly reviewed from time to time and changed as 
needs and conditions in the community change. 

(b) Admission services shall be in accordance 
with the stated policies of the institution. Admis- 
sions shall be limited to those children who need 
care apart from their families and for whom the 
institution is qualified by staff, program, facilities, 
and services to give appropriate care. 

(c) Staff responsibility for decisions on admis- 
sions shall be clearly established. 

(d) Decisions on admissions shall be based upon 
a study of the total situation of the child and his 
particular needs. The study shall be made prior to 
admission and shall include all information which 
will enable a careful analysis of the application to 
determine if the institution's program of care is 
appropriate for the child. 

(e) When parents or other relatives with legal 
responsibility for a child apply for the child's 
admission the institution shall ascertain what 
community resources are available to keep the 
child in his own home, such as financial assis- 
tance, homemaker services, day care services, and 
other supportive services. County departments of 
social ser\'ices where requested can assist families 
in e\'aluating community resources available to 
them. 

(fl Children shall be accepted by written appli- 
cation signed by the person or representative of the 
agency having legal authority to place the children. 
Written agreements shall be made setting forth the 
responsibilities of the institution and of the person 
or agency having legal authority for caring and 
planning for the child. Provision shall be made 
for continuing relationships between the institution, 
the legally responsible person or agency, and the 
child during the period of placement. 

(g) The provisions of the North Carolina inter- 
state placement laws (G.S. 110-50 to 110-57 and 
110-57.1 et. seq.) shall be met when out of state 
children are being considered for admission or 
discharge. North Carolina interstate placement 
laws require the approval of the North Carolina 
Department of Human Resources prior to place- 
ment of a child by an out of state agency. Corre- 
spondence relati\e to admission, progress, and 
discharge of children in custody of out of state 
agencies shall be routed through the North Caroli- 
na Department of Human Resources, division of 
social services, as outlined in its operational 
manual. 

(h) No child shall be accepted in an institution 
without a medical examination and a statement 
signed by a licensed phyjioian dco l armg the child 
tree of communicable di s ea s e and spcoifi'ing any 



condition or dcfcots the child might have and any 
medications prescribed, medical provider specify- 
ing the child's current medical condition and 
medications prescribed and indicating the presence 
of any communicable disease which may pose a 
significant risk of transmission in the facility. 

(i) In the event of emergency admissions the 
required admission procedures shall be completed 
within two weeks following admission. If more 
than five percent of an institution's population are 
admitted on an emergency basis, in any 12 month 
period, the institution shall provide an identifiable 
program for the provision of emergency care in a 
living unit separate from other children in resi- 
dence. 

Statutory Authnrin- G.S. 131D-10.5: 143B-153. 

SECTION .1100 - PUBLIC INSTITUTION 
SOCIAL SERVICES 

.1102 ADMISSION SERVICES 

(a) Admission policies shall be clearly defined in 
writing and available to persons or agencies mak- 
ing inquiries. Admission policies shall be careful- 
ly reviewed from time to time and changed as 
needs and conditions in the community change. 

(b) Admission services shall be in accordance 
with the stated policies of the institution. Admis- 
sions shall be limited to those children who need 
care apart from their families and for whom the 
institution is qualified by staff, program, facilities, 
and services to give appropriate care. 

(c) Staff responsibility for decisions on admis- 
sion shall be clearly established. 

(d) Decisions on admissions shall be based upon 
a study of the total situation of the child and his 
particular needs. The study shall be made prior to 
admission and shall include all information which 
will enable a careful analysis of the application to 
determine if the institution's program of care is 
appropriate for the child. 

(e) When parents or other relatives with legal 
responsibility for a child apply for the child's 
admission, the institution shall ascertain what 
community resources are available to keep the 
child in his own home, such as financial assis- 
tance, homemaker services, day care services, and 
other supportive services. County departments of 
social services, where requested, can assist fami- 
lies in evaluating community resources available to 
them. 

(f) A public institution shall not accept legal 
custody of children. Children shall be accepted by 
written application signed by the person or repre- 



1473 



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PROPOSED RULES 



sentative of the agency having legal authority to 
place the children. Written agreements shall be 
made setting forth the responsibilities of the 
institution and of the person or agency having legal 
authority for caring and planning for the child. 
Provision shall be made for continuing relation- 
ships between the institution, the legally responsi- 
ble person or agency, and the child during the 
period of placement. 

(g) The provisions of the North Carolina inter- 
state placement laws (G.S. 1 10-50 through 1 10-57 
and 110-57.1 et. seq.) shall be met when out of 
state children are being considered for admission 
or discharge. North Carolina interstate placement 
laws require the approval of the North Carolina 
Department of Human Resources prior to place- 
ment of a child by an out of state agency. Corre- 
spondence relative to admission, progress, and 
discharge of children in custody of out of state 
agencies shall be routed through the North Caroli- 
na Department of Human Resources, division of 
social services, as outlined in its operational 
manual. 

(h) No child shall be accepted in an institution 
without a medical examination and a statement 
signed by a licensed phy s ician declaring the child 
free of communicable disease and s pecifying any 
condition or defects the child might have and any 
medication s pre s cribed, medical provider specify- 
ing the child's current medical condition and 
medications prescribed and indicating the presence 
of any communicable disease which may pose a 
significant risk of transmission in the facility. 

(i) In the event of emergency admissions, the 
required admission procedures shall be completed 
within two weeks following admission. If more 
than five percent of an institution's population are 
admitted on an emergency basis, in any 12 month 
period, the institution shall provide an identifiable 
program for the provision of emergency care in a 
living unit separate from other children in resi- 
dence. 

Statutory Authority G.S. 131D-10.5; 143B-153. 

SUBCHAPTER 41 R - LICENSING 

STANDARDS: RESIDENTIAL CAMPS 

PROVIDING FOSTER CARE FOR 

CHILDREN 

.0003 PROGRAM REQUIREMENTS AND 
SERVICES 

(a) The camp shall have a written description of 
services provided by the camp to address the needs 
of the population served. The document shall 



include a description of the camp's plan for family 
involvement and for the provision of services, 
making it clear which services are provided direct- 
ly by the camp and which are provided in coopera- 
tion with either family or community resources. 

(b) The written description of the camp's plan 
shall be utilized in providing daily activities and 
structures for meeting the physical, social, emo- 
tional, educational and developmental needs of 
children in care. 

(c) The camp shall designate the staff responsi- 
ble for planning, implementing, and evaluating its 
various program activities and functions and its 
arrangements for groupings of children in care. 

(d) The camp shall designate the staff responsi- 
ble for periodic assessment of each child's prog- 
ress in care and for determining when changes 
need to be made in the child's plan of care. 

(e) The camp shall specify who is authorized to 
admit and discharge children. Prior to the admis- 
sion of a child, the camp shall secure documenta- 
tion of the child's legal custody and shall admit the 
child only upon written agreement signed by the 
person or agency representative having the legal 
authority to place a child. 

(f) Each child shall have a medical assessment, 
within 60 days prior to admission, indicating the 
child's ability to participate in the activities and t^ 
absence of communicable diseases, specifying the 
child's current medical condition and medications 
prescribed and indicating the presence of any 
communicable disease which may pose a signifi- 
cant risk of transmission in the facility. 

(g) The camp shall not accept a child for care 
until an intake study has been made by the as- 
signed staff person and it has been determined that 
the needs and the best interests of the child and his 
family or custodian can be met through the camp- 
ing program. 

(h) The camp shall establish clearly written 
admission policies and procedures which shall be 
available, upon request, to the public. 

(i) Admission to the camp must be limited to the 
number of children for whom the camp is licensed 
and types of children for whom a camp setting is 
imperative. Only those children who need care, 
individual attention and supervision apart from 
their families and for whom the camp is qualified 
by staff, program, facility, and services shall be 
admitted. 

(j) Prior to the admission date, the camp shall 
document the following in writing for each child: 

(1) who has legal custody; 

(2) who will be financially responsible for 
the support and medical and dental care 



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November 2, 1992 



1474 



PROPOSED RULES 



of the child; 

(3) how the family and legal custodian will 
participate in the program; 

(4) how phone calls, letters, and visits will 
be arranged; 

(5) how clothing, allowances, and gifts for 
the child will be handled; 

(6) written consent from the child's legal 
custodian for the child to participate in 
activities that the camp will be planning 
for the child away from the camp area; 
and 

(7) a written agreement, signed prior to the 
day of admission by the camp staff, the 
child, parent and legal custodian, which 
specifies who will be responsible for 
planning and implementing goals while 
the child is in the camping program. 

(k) The camp shall establish written discharge 
policies and procedures which will include at least 
the following: 

(1) giving prior notice to the parent or 
custodian when a child is scheduled for 
discharge; 

(2) planning with the child and his parent 
or legal custodian for his discharge, 
giving the opportunity for discussion 
and after-care planning; 

(3) discharging children under 18 who have 
not been legally emancipated only to 
the person or agency having legal cus- 
tody of the child; 

(4) notifying the legal custodian promptly 
in the event a child leaves the camp for 
any non-scheduled purpose such as 
medical emergency or runaway. Proce- 
dures shall be developed for handling 
such non-scheduled departures and for 
determining how the child will return to 
the program; and 

(5) documenting in the case record the 
circumstances leading to discharge, the 
reason for discharge, who requested the 
discharge, the progress that had been 
made toward realizing the goals, and to 
whom the child was discharged. 

(1) Written intervention goals and plans for 
implementing services to each child in care will be 
developed within 30 days of admission for each 
child and documented in the child's case file, 
including: 

(1) goals stated in specific, realistic, and 

measurable terms; 
(1) plans that are action oriented, including 
who on the staff is responsible for the 



child to reach specific goals, and how 
the staff will act in order for the goals 
to be met; and 
(3) goals and plans written in cooperation 
with the child and his family and his 
legal custodian, 
(m) The child's service plan shall be based upon 
the assessment of the child and the family's needs 
and the reasons that the child's foster care needs 
can best be accommodated in the camping environ- 
ment. 

(n) The plan shall be reviewed at least every 
three months to determine the child's and family's 
progress or lack of progress towards meeting the 
goals and objectives, and to determine changes that 
need to be made in the plan. 

(o) Children's camps shall maintain complete, 
accurate, and current case records on each child 
receiving service. 

(p) The case record shall include at least the 
following: 

(1) a complete application for service, 
signed by the person or agency having 
legal custody, which includes at least 
the following: 

(A) the name, address, race, sex. religion, 
birth date, and place of birth of the 
child; 

(B) the name, address, telephone number, 
and marital status of the parent or 
legal custodian, siblings, grandpar- 
ents, and other significant individuals 
to the child; 

(C) date of admission and source referral; 
and 

(D) all documents related to the referral of 
the child to the camp, including so- 
cial, family, medical, educational, and 
other pertinent histor)' that was used 
in making a decision to admit the 
child to the camping program. 

(2) copies of legal documents such as birth 
certificates, court dispositions, place- 
ment agreements; 

(3) a copy of the child's service plan which 
is kept current by the assigned staff and 
documentation of the efforts made by 
the camp designated staff person to 
enable the client to reach the agreed 
upon goals; 

(4) results of all medical examinations, 
psychological examinations, and other 
essential information; and 

(5) a summary supporting the reasons for 
discharge or termination from the pro- 



1475 



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November 2, 1992 



PROPOSED RULES 



gram. 

(q) All information in the case record must be 
considered privileged and confidential and shall be 
released only when the parent or legal custodian 
has signed a consent to release information form. 

(r) During the period of service for the child, 
the case record shall document service and educa- 
tional experiences provided and the child's re- 
sponse, especially: 

(1) observations of response to individual 
goals and plans and individualized 
educational plan recorded with signifi- 
cant frequency to enable evaluation of 
their efficiency; 

(2) reports of the review, evaluation and 
change in the individualized service 
plan and individualized education plan, 
which are to be done at least every 
three months; 

(3) summaries of parent conferences; 

(4) records of services provided, especially 
medical and dental services; 

(5) records of significant behavior inci- 
dents; 

(6) records of time away from camp; and 

(7) updates of any change in admission 
data. 

(s) The camp shall make every effort to enhance 
and expand the family's relationship with the 
child, and to facilitate positive communication 
between them in accordance with the child's 
service plan. 

(t) The camp shall provide conditions of reason- 
able privacy for planned visits and telephone 
contacts between the child and family, friends, and 
significant others. 

(u) There must be a minimum of 2 counselors 
certified in Basic Rescue and Water Safety for 
each 10 children participating in any on property 
activity involving water, such as swimming, 
boating, canoeing, and rafting. Off property, the 
ratio shall be 3 counselors for each 10 children for 
trips of 24 hours or more. At least one counselor 
shall be certified in CPR by the American Red 
Cross. 

(v) An itinerary shall be on file at camp for any 
activity for more than 24 hours that is off of camp 
property, which shall include names of those 
participating, daily schedule, listing of check-in 
points, routes to be taken, and telephone numbers 
of emergency resources along each route (sheriffs, 
hospitals, rescue squads). 

Statutory Authority G.S. 131D-10.5. 



I\otice is hereby given in accordance with G.S. 
150B-21.2 that the Social Services Commission 
intends to amend rule cited as 10 NCAC 42C 
.2401 and adopt rule cited as 10 NCAC 42V 
.0806. 

1 he proposed effective date of this action is 
March 1, 1993. 

1 he public hearini^ will he conducted at 10:00 
a.m. on December 2, 1992 at the Division of 
Social Services, Albemarle Bldg. , Room 943-2, 
325 N. Salisbury St.. Raleigh, NC 27603. 

MXeason for Proposed Actions: 

10 NCAC 42C .2401 - To bring federal regulations 
into compliance with the recently enacted Ameri- 
cans with Disabilities Act. 

10 NCAC 42V .0806 - 77?^ rule is being proposed 
for adoption in order to protect the confidentiality 
of information included in the Adult Protective 
Services Register while allowing county depart- 
ments of social services access to the information 
to assist them in facilitating the protection of 
disabled adults. 

(comment Procedures: Comments nuiy he pre- 
sented in writing or orally at the hearing. Time 
limits for oral remarks may be imposed by the 
Commission Chairnum. Any person nuiy request 
copies of these rules by calling or writing to Don 
Bowen. Division of Social Services, 325 N. Salis- 
bury St.. Raleigh, NC 27603, 919/733-3055. 

Editor's Note: Rule 10 NCAC 42C .2401 was 
filed as a temporary rule effective October 14, 
1992 for a period of 180 days or until the perma- 
nent rule becomes effective, whichever is sooner. 



CHAPTER 42 



INDIVIDUAL AND FAMILY 
SUPPORT 



SUBCHAPTER 42C - LICENSING OF 
FAMILY CARE HOMES 

SECTION .2400 - ADMISSION POLICIES 



7:15 



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November 2, 1992 



1476 



PROPOSED RULES 



.2401 ADMISSIONS 

(a) Any adult (18 years of age or over) who, 
because of a temporary or chronic physical condi- 
tion or mental disability, needs a substitute home 
may be admitted when, in the opinion of the 
resident, physician, family or social worker, and 
the administrator the services and accommodations 
of the home will meet his particular needs. 

(b) Exceptions. People are not to be admitted: 



(1) 

(2) 
(3) 

(4) 



(5) 



for treatment of mental illness, or alco- 
hol or drug abuse; 
for maternity care; 

for professional nursing care under 
continuous medical supervision; 
for lodging, when the personal assis- 
tance and supervision offered for the 
aged and disabled are not needed; or 
who pose a direct threat to the health or 
safety of others. with disease — in a 
oommunioablo — s tage — or carrier — state. 
Thi s — provision does — not prohibit the 
admission of residents who arc hepatitis 
B carriers to a home operated by a 
contract — agency — of an — ai=ea — mental 
health, — developmental — disabilitie s and 
s ub s tance abuse program if the home is 
in compliance with the rules codified in 
10 NCAC 18H .0107 through .0115. 
Copies of the rules in 10 NCAC 18H 
.0107 through 01 15 may be obtain e d at 
no co s t by writing: Publications Offi 
eer. Division of Mental Health, Bevel 
opmental — Disabilities — and — Sub s tance 
Abu s e — Serx'iees. — ^35 — N^ — iSalisbury 
Street, Raleigh, North Carolina 27603. 
The Division of Facility Services may 
accept — documentation — submitted — te 
county departments of social — services 
by area mental health, developmental 
disabilitie s and — substance abuse pro 
gram s a s evidence that the home is in 
compliance with 10 NCAC 1 8 H .0107 
through .01 15. l ^ nless the Communiea 
We — Di s ea s e — Control — Mea s ure s — ( 15A 
NCAC lOA .0200) require re s triction, 
thts — prox'i s ion doc s — not — prohibit th e 
admi ss ion — &f — individual s — Vt4th — HIV 
infection to a home which has estab 
li s hcd — through — ifc — written — admission 
polic i es that it i s operated s olely for the 
benefit of residents with HIV infection 
and which i s following infection control 
measure s outlined in the — "Guidelines 
for the prevent i on of the Tran s mi s sion 
of Human Immunodeficienev Virus and 



Hepatiti s B Virus to Health Care and 
Public Safety Workers". — The adminis 
trator — is — responsible for establishing 
written procedures for implementing the 
infection control measures. — Documen 
tation that the procedures have been 
reviewed and approved by a qualified 
health — eafe — professional — m — private 
practice or in the public health depart 
ment must be on file in the home and 
available for inspection by the monitor 
ing and licen s ing agencies. — Copies of 
the rules in ISA NCAC 19A .020Q may 
be obtained at no co s t by writing the 
Communicable Di s ea s e Control Section. 
PrG. — B<« — 27687, — Raleigh, — NrGr 
2761 1 . — Copies of the "Guidelines for 
f the Transmission of 



the prevention o 
Human — Immunodeficiency — Viru s — and 
Hepatitis B Virus to Health Care and 
Public Safety Workers" (No. 89 107) 
may be obtained at no cost by writing 
NIOSH, Attention: Publication s . 4 676 
Columbus Parkway, Cincinnati. Ohio. 
4 5226. 



Statutory' Authority G.S. 131D-2: 143B-153. 

SUBCHAPTER 42V - PROTECTIVE 
SERVICES FOR ADULTS 

SECTION .0800 - CONFIDENTIALITi 

.0806 ADULT PROTECTIVE SERVICES 
REGISTER 

(a) Information submitted by county departments 
of social services to the Adult Protective Services 
Register is confidential. Non-identifying statistical 
information and general information about the 
scope, nature and extent of adult abuse, neglect 
and exploitation in North Carolina is not subject to 
this Rule of confidentiality. 

(b) Access to the Adult Protective Services 
Register is restricted to: 

( 1 ) the county department of social servic- 
es, 
(A) in order to identify whether an adult 
who is the subject of an Adult Protec- 
tive Services evaluation has been 
previously reported and esaluated 
under G.S. IPSA, Article 6 in any 
county in the state; or 
in order to share client s pecific infor- 



iB] 



mation with an out-of-state protective 
services agency to assure that protec- 



1477 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



tive services will be made available to 
an adult previously served in North 
Carolina as quickly as possible for the 
purpose of preventing further abuse, 
neglect or exploitation; or 
(C) in order to share client specific infor- 
mation with law enforcement agencies 
to assure that protective services will 
be made available to an adult as 
quickly as possible; 

(2) the Division of Social Services staff. 

(A) in order to perform duties pertinent to 
managing and maintaining the Regis- 
ter and monitoring, auditing, evaluat- 
ing or facilitating the administration 
of other state and federal programs 
regarding Adult Protective Services 
based on information in the Register. 
or 

(B) in order to share client specific infor- 
mation with an out-of-state protective 
services agency to assure that protec- 
tive services will be made available to 
an adult previously served in North 
Carolina as quickly as possible for the 
purpose of preventing further abuse, 
neglect or exploitation; and 

(3) individuals who receive approval to 
conduct studies of cases in the Adult 
Protective Services Register. 

(A) Such approval must be requested in 
writing to the Director. Division of 
Social Services. The written request 
will specify and be approved on the 
basis of: 

(i) an explanation of how the findings 
of the study have potential for 
expanding knowledge and improv- 
ing professional practices in the 
area of prevention, identification 
and treatment of adult abuse, 
neglect and exploitation; 

(ii) a description of how the study 
will be conducted and how the 
findings will be used; 

(iii) a presentation of the individual's 
credentials; and 

(iv) a description of how the individu- 
al will safeguard the information. 

(B) Access will be denied when m the 
judgement of the Director the study 
will have minimal impact on either 
knowledge or practice. 

Statuton- Aurhorin- G.S. 108A-80: 108A-I03: 



143B-153. 

iS otice is hereby given in accordance with G.S. 
150B-21.2 that the Social Services Commission 
intends to amend rules cited as 10 NCAC 42E 
. 1207 and 42Z. 0901. 

1 he proposed effective date of this action is 
February 1 . 1993. 

1 he public hearing will be conducted at 10:00 
a.m. on December 2, 1992 at the Division of 
Social Services, Albemarle Bldg. , Room 943-2, 
325 N. Salisbury Street, Raleigh. NC 27603. 

txeason for Proposed Action: These Rules are 
being proposed for amendment to facilitate the 
inspection of adult day care and adult day health 
programs by local fire, sanitation and buiUiing 
inspectors. 

L^omnient Procedures: Comments may be pre- 
sented in writing anytime before or at the public 
hearing or orally at the hearing. Time limits for 
oral remarks may be imposed by the Commission 
Chairman. Any person may request copies of 
these Rules by calling or writing to Don Bowen. 
Division of Social Services, 325 North Salisbury 
St. . Raleigh. NC 27603. (919) 733-3055. 

SUBCHAPTER 42E - ADULT DAY CARE 
STANDARDS FOR CERTIFICATION 

SECTION .1200 - CERTIFICATION 
PROCEDURE 

.1207 PROCEDUTIE 

(a) All individuals, groups or organizations 
operating or wishing to operate an adult day care 
program as defined by G.S. 13 lD-6 must apply for 
a certificate to the county department of social 
services in the county where the program is to be 
operated. 

(b) A designated social worker v^ill supply 
necessary forms and standards for certification and 
will make a study of the program. 

(c) The following forms and materials make up 
an initial certification package and must be submit- 
ted through the county department of social servic- 
es to the state Division of Social Services: 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1478 



PROPOSED RULES 



(1) 
(2) 
(3) 
(4) 



(5) 



(6) 



(7) 



(8) 



(9) 



10) 



(11) 
(12) 



The program policy statement; 
Organizational diagram; 
Job descriptions; 

Documentation showing planned expen- 
ditures and resources available to carry 
out the program of service for a 12 
month period; 

A floor plan of the facility showing 
measurements, restrooms and planned 
use of space; 

Form DSS-1498 (Fire Inspection Re- 
port) or the equivalent completed and 
signed by the local fire inspector no 
more than 30 days prior to submission 
with the certification package; 
Form DSS-1499 (Building Inspection 
Report for Day Care Services for 
Adults) or the equivalent completed and 
signed by the local building inspector, 
or fire inspector or fire marshall if a 
building inspector is not available, no 
more than 30 days prior to submission 
with the certification package; 
Form DSS-2386 (Sanitation Evaluation 
Report) or the equivalent completed and 
signed by a local sanitarian no more 
than 30 days prior to the submission 
with the certification package; 
Written notice and the effective date, if 
a variance of local zoning ordinances 
has been made in order for property to 
be utilized for an adult day care pro- 
gram; 

A copy of the articles of incorporation, 
bylaws and names and addresses of 
board members, for adult day care 
programs sponsored by a non-profit 
corporation; 

The name and mailing address of the 
owner if a proprietary program; 
A medical statement for each proposed 
staff member certifying to freedom 
from communicable disease or condi- 
tion and to good health signed by a 
licensed physician, physician assistant 
or nurse practitioner no more than 30 
days prior to submission with the certif- 
ication package. When such certifica- 
tion cannot be made, the proposed staff 
member may be hired based on an 
assessment of whether the work tasks 
would pose a significant risk to the 
health of the employee, co-workers, or 
the public, or whether the employee is 
unable to perform the normally as- 



signed job duties; and 
(13) DSS-1500 (Adult Day Care Certifica- 
tion Report). This form must be sub- 
mitted by the county department of 
social services with a copy to the pro- 
gram, 
(d) The following forms and materials make up 
a certification package for the renewal of a certifi- 
cation and must be submitted through the county 
department of social services, no more than 60 
days prior to the end of the current period of 
certification, to the state Division of Social Servic- 
es: 

(1) Form DSS-1498 (Fire Inspection Re- 
port) or the equivalent completed and 
signed by the local fire inspector no 
more than 30 day s 12 months prior to 
submission with the certification pack- 
age; 

(2) Form DSS-1499 (Building Inspection 
Report for Day Care Services for 
Adults) or the equivalent when structur- 
al building modifications have been 
made during the previous 12 months. 
completed and signed by the local 
building inspector, or fire inspector or 
fire marshall if a building inspector is 
not available, within 30 days following 
completion of the structural building 
modifications; no more than 30 day s 
prior to submission with the ocrtifica 
tion package when s tructural building 
modifications have been made during 
the previous 12 months; 

(3) Form DSS-2386 (Sanitation Evaluation 
Report) or the equivalent completed and 
signed by a local sanitarian no more 
than 30 days 12 months prior to sub- 
mission with the certification package; 

(4) A medical statement for each staff 
member certifying to freedom from 
communicable disease or condition and 
to good health signed by a licensed 
physician, physician assistant or nurse 
practitioner no more than 12 months 
prior to submission with the certifica- 
tion package. When such a certifica- 
tion cannot be made, employment may 
be continued, terminated, or reassigned 
based on an assessment of whether the 
employee's work tasks would pose a 
significant risk to the health of the 
employee, co-workers, or the public, or 
whether the employee is unable to 
perform normally assigned job duties; 



1479 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



(5) An updated copy of the policy state- 
ment, organizational diagram, job 
descriptions, names and addresses of 
board members if applicable, and a 
floor plan showing measurements, 
restrooms, and planned use of space, if 
any changes have been made since the 
previous certification package was 
submitted; 

(6) Documentation showing planned expen- 
ditures and resources available to carry 
out the program of service for a 12 
month period; and 

(7) DSS-1500 (Adult Day Care Certifica- 
tion Report). This form must be sub- 
mitted with the certification package by 
the Department of Social Services to 
the Division of Social Services at least 
30 days in advance of the expiration 
date of the certificate, with a copy to 
the program. 

(e) If during the study of the program it does 
not appear that all standards can be met, the 
county department will so inform the applicant, 
indicating in writing the reasons, and give the 
applicant an opportunity to withdraw the applica- 
tion. Upon the applicant's request, the application 
will be completed and submitted to the Division of 
Social Services for consideration. 

(f) Following review of the certification pack- 
age, a pre-certification visit may be made by staff 
of state Division of Social Services. 

(g) The Division of Social Services will prompt- 
ly notify in writing to the applicant and the county 
department of social services of the action taken 
after a review of the certification package and 
visit, if made. 

Skirutory AutJwhty G.S. 130A-148; 131D-6; 
143B-I53. 

SUBCHAPTER 42Z - ADULT DAY HEALTH 
STANDARDS FOR CERTIFICATION 

SECTION .0900 - CERTIFICATION 
INFORMATION 

.0901 PROCEDURE 

(a) All individuals, groups or organizations 
operating or wishing to operate an adult day health 
program as defined by G.S. 131 D-6 must apply for 
a certificate to the county department of social 
services in the county where the program is to be 
operated. 

(bj A designated social worker will supply 



(3) 
(4) 



(5) 



(6) 



(7) 



necessary forms and standards for certification and 
will make a study of the program. 

(c) The following forms and materials make up 
an initial certification package and must be submit- 
ted through the county department of social servic- 
es to the state Division of Social Services: 

(1) The program policy statement; 

(2) Organizational diagram; 
Job descriptions; 

Documentation showing planned expen- 
ditures and resources available to carry 
out the program of service for a 12 
month period; 

A floor plan of the facility showing 
measurements, restrooms and planned 
use of space; 

Form DSS-1498 (Fire Inspection Re- 
port) or the equivalent completed and 
signed by the local fire inspector no 
more than 30 days prior to submission 
with the certification package; 
Form DSS-1499 (Building Inspection 
Report for Day Care Services for 
Adults) or the equivalent completed and 
signed by the local building inspector, 
or fire inspector or fire marshall if a 
building inspector is not available, no 
more than 30 days prior to submission 
with the certification package; 
Form DSS-2386 (Sanitation Evaluation 
Report) or the equivalent completed and 
signed by a local sanitarian no more 
than 30 days prior to the submission 
with the certification package; 
Written notice and the effective date, if 
a variance of local zoning ordinances 
has been made in order for property to 
be utilized for an adult day health pro- 
gram; 

A copy of the articles of incorporation, 
bylaws and names and addresses of 
board members, for adult day health 
programs sponsored by a non-profit 
corporation; 

The name and mailing address of the 
owner if a proprietary program; 
A medical statement of each proposed 
staff member certifying to freedom 
from communicable disease or condi- 
tion and to good health signed by a 
licensed physician, physician assistant 
or nurse practitioner no more than 30 
days prior to submission with the certif- 
ication package. When such certifica- 
tion cannot be made, employment may 



(8) 



(9) 



(10) 



(11) 
(12) 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1480 



PROPOSED RULES 



commence, continue, terminate, or be 
reassigned based on an assessment on 
wiiether the employee's work taslcs 
would pose a significant risk to the 
health of the employee, co-workers or 
the public, or whether the employee is 
unable to perform the normally as- 
signed Job duties; and 
(13) DSS-6205 (Adult Day Health Certifica- 
tion Report). This form must be sub- 
mitted by the county department of 
social services with a copy to the pro- 
gram, 
(d) The following forms and materials make up 
a certification package for the renewal of a certifi- 
cation and must be submitted through the county 
department of social services, no more than 60 
days prior to the end of the current period of 
certification, to the state Division of Social Servic- 
es: 

(1) Form DSS-1498 (Fire Inspection Re- 
port) or the equivalent completed and 
signed by the local fire inspector no 
more than 30 day s \2 months prior to 
submission with the certification pack- 
age; 

(2) Form DSS-1499 (Building Inspection 
Report for Day Care Services for 
Adults) or the equivalent when structur- 
al building modifications have been 
made during the previous 12 months, 
completed and signed by the local 
building inspector, or fire inspector or 
fire marshall if a building inspector is 
not available, within 30 days following 
completion of the structural building 
modifications; no more than 30 days 
prior to s ubmi s sion with the cortifiea 
tion package when structural building 
modifications have been made during 
the previous 12 months; 

(3) Form DSS-2386 (Sanitation Evaluation 
Report) or the equivalent completed and 
signed by a local sanitarian no more 
than 30 days 12 months prior to sub- 
mission with the certification package; 

(4) A medical statement for each staff 
member certifying to freedom from 
communicable disease or condition and 
to good health signed by a licensed 
physician, physician assistant or nurse 
practitioner no more than 12 months 
prior to submission with the certifica- 
tion package. When such certification 
cannot be made, employment may 



commence, continue, terminate, or be 
reassigned based on an assessment on 
whether the employee's work tasks 
would pose a significant risk to the 
health of the employee, co-workers or 
the public, or whether the employee is 
unable to perform the normally as- 
signed job duties; 

(5) An updated copy of the policy state- 
ment, organizational diagram, job 
descriptions, names and addresses of 
board members if applicable, and a 
floor plan showing measurements, 
restrooms, and planned use of space, if 
any changes have been made since the 
previous certification package was 
submitted; 

(6) Documentation showing planned expen- 
ditures and resources available to carry 
out the program of service for a 12 
month period; and 

(7) DSS-6205 (Adult Day Health Certifica- 
tion Report). This form must be sub- 
mitted with the certification package by 
the Department of Social Services to 
the Division of Social Services at least 
30 days in advance of the expiration 
date of the certificate, with a copy to 
the program. 

(e) If during the study of the program it does 
not appear that all standards can be met, the 
county department will so inform the applicant, 
indicating in writing the reasons, and give the 
applicant an opportunity to withdraw the applica- 
tion. Upon the applicant's request, the application 
will be completed and submitted to the Division of 
Social Services for consideration. 

(f) Following review of the certification pack- 
age, a pre-certification visit may be made by staff 
of state Division of Social Services. 

(g) The Division of Social Services will prompt- 
ly notify in writing to the applicant and the county 
department of social services of the action taken 
after a review of the certification package and 
visit, if made. 

Statuton- Authority- G.S. 130A-148: 121D-6: 
143B-153. 









iS otice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Human Resourc- 
es intends to adopt rule cited as 10 NCAC 46G 



1481 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



.0116. 

1 he proposed effective date of this action is 
February 1, 1993. 

1 he public hearing will be conducted at 2:00 
p.m. on December 8, 1992 at the Council Build- 
ing. Room 201. 701 Barbour Drive, Raleigh, NC 
27603. 

iveason for Proposed Actions: To apply the rules 
for nonregistered homes in the subsidized day care 
program to nonregistered homes funded through 
the Child Care and Development Block Grant. 

y^omment Procedures : Written or oral comments 
may he submitted at the Public Hearing. Written 
comments may also be submitted prior to the 
Public Hearing. Comments or questions should be 
directed to Mr. Jackie Sheppard, APA Coordina- 
tor, Division of Facility Services, P.O. Box 29530, 
Raleigh, NC 27626-0530. Telephone (919) 733- 
2342. 

CHAPTER 46 - DAY CARE RULES 

SUBCHAPTER 46G - NONREGISTERED 
DAY CARE HOME REQUIREMENTS 

SECTION .0100 - GENERAL 
REQUIREMENTS 

.0116 APPLICABILITY OF RULES 

The rules of this Subchapter, including any 
subsequent amendments, shall also apply to non- 
registered home recipients of Child Care and 
Development Block Grant child day care services 
funds administered by the Department of Human 
Resources. 

Authority 45 C.F.R. 98.11(b); 45 C.F.R. 98.40; 
150B-21.6. 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the Social Services Commission 
intends to adopt rules cited as 10 NCAC 46G 
.0109 - .0115, .0213 - .0215 and repeal rules 
cited as 10 NCAC 46G .0101, .0103 - .0106, 
.0108, and .0201. 



1 he proposed effective date of this action is 
February 1. 1993. 

1. he public hearing will be conducted at 10:00 
a.m. on December 2, 1992 at the DSS 9th Floor 
Conference Room, Albemarle Building, 325 N. 
Salisbury Street, Raleigh, NC. 

Jxeason for Proposed Action: To comply with 
federal regulations for subsidized child day care in 
homebased arrangements not subject to regulation 
in North Carolina. 

K^onunent Procedures: Comments may be pre- 
sented in writing before or at the public hearing or 
orally at the hearing. Time limits for oral remarks 
may be imposed by the Commission Chairnuin. 
Any person may request copies of this rule by 
calling or writing to Don Bowen, Division of 
Social Services, 325 N. Salisbury Street, Raleigh, 
NC 27611. 919/733-3055. 

f iscal Note: This Rule affects the expenditures or 
revenues of local funds. A fiscal note was submit- 
ted to the Fiscal Research Division on 10/27/92, 
OSBM on 10/5/92, N. C League of Municipalities 
on 10/27/92, and N. C. Association of County 
Commissioners on 10/27/92. 

CHAPTER 46 - DAY CARE RULES 

SUBCHAPTER 46G - NONREGISTERED 
DAY CARE HOME REQUIREMENTS 

SECTION .0100 - GENERAL 
REQUIREMENTS 

.0101 DIVISION RESPONSIBILITY 

(a) Th e Child Day Care Section in the Division 
of Facility S e rvice s i s rcoponaibl e for th e ov e rall 
manag e m e nt of the standards and proc e dur e s for 
approving individual child car e arrang e m e nts in 
which day car e fund s admini s t e r e d by th e D e part 
m e nt of Human Re s ourc es ar e u se d to pay th e day 
car e co s t s for childr e n of famili e s eligible for 
assistance with day car e costs. — Each of the 100 
county d e partments of social servic es i s r e sponsi 
bl e for e nforcing s tandard s and procedur e s for 
Individual Child Car e Arrang e ments in accordance 
with rules in 10 NCAC 4 6G. 

fb^ — A county d e partm e nt of social s e rvices may 
contract with another public or private non profit 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1482 



PROPOSED RULES 



agency which i s not a provider of child day care 
scrvicoij to perform the enforcement and manage 
ment functions described in Paragraph (a) of this 



Statiitof}- Authoriry G.S. 143B-153{2a). 

.0103 DEFINITIONS 

{ic) — "Individual child eare arrangement" (ICCA) 
means a plan whereby day care is provided to a 
child or the children of one family or of one 
household in the home of the caregiver during a 
portion of the day or night when the parent is not 
in the home or i s otherwise unable to provide care. 
It is permissible to use a caregiver who ha s chil 



parent in understanding and utilizing an individual 
child care arrangement to the child's benefit when 



used. 



the home even though her 



dren of her own in 
children and the children for whom she is provid 
ing day care are unrelated. — Any individual child 
care arrangem e nt — (ICCA) for which a vendor 
payment will be made mu s t be approved in accor 
dance with rules in thi s Subchapter and mu s t meet 
other applicable rules in 10 NCAC 4 6. 

fH For the purpose of vendor payment, 

care in the child's home by a member 
of the household will be re s tricted to 
household — members — other — thftn — the 
child's parent s or re s ponsible adult. 

f3^ In s ome — instances. — it is — a matter of 

judgment as to whether children arc to 
be considered a part of on e family for 
the purpose of malcing a payment for an 
ICCA. Children will always be consid 
cred as part of one family when one of 
the following relation s hips exist: 
(tM — children who are full or half siblings; 
f©) — children v^'ho are first cousins; 
fG^ — children v\'ho are — aunts or uncles, 
niece s or nephews of other children in 
care; 
{&) — related — ef — unrelated — children — wh« 
re s ide in the s ame hous e ho l d. 
fb^ — In this Subchapter and in Subchapter 4 6H, 
the term "parent" shall apply to the responsible 
adult with v>'hom the child re s ides and who has 
primary responsibility for the care and well being 
of the child. — This includes natural and adoptive 
parents, guardians, custodian s , or persons other 
wise acting in place of the parent s , including foster 
parents. 



Statutory- Authorit}- G.S. 143B-153(2a). 

.0104 COUNTY DEPARTMENT 
RESPONSIBILITY 

fa-) — The county department s hall work with the 



an mdividual child care arrangement is 

(fe) — TTic county department shall involve the 
parent in the identification of an individual child 
care arrangement caregiver. 

(c) County department staff shall carefully assess 
the use of an approved ICCA to assure that the 
needs of the child and his family may be met. 

(d) The county department s hall be responsible 
for the approval and monitoring of all individual 
child care arrangement s from which care is pur 
chased with funds admini s tered by the Department 
©f — Human — Re s ource s — according — 16 — standards 
e s tabli s hed by the Social Services Commis s ion. 

fe) — The county department shall provide a copy 
of the individual child care arrangement standards 
and checklist, along with a copy of the vendor 
purchase agreement to the caregiver. — The county 
department staf¥ s hall review standards and the 
agre e ment with the caregiver for the purpose of 
assuring the caregiver's knowledge of the program 
and fiscal standard s applicable to the arrangement. 

fft — The county department shall be responsible 
for documenting — and — recording — information — t© 
s how that the individual child care arrangement 

meets required standards. Forms to document 

approval and to record frequency and content of 
monitoring will be provided to county departments 



by the section. 

fg-) — The county department s hall enter a vendor 
purchase agreement with the provider and parent 
on a standard form furnished by the section. 

(h) The county department may provide, to the 
extent fund s and staff are available. — technical 
assistance and training to the provider to assure the 
adequacy of the appro\'ed arrangement. 



Statutory Authorit}' G.S. 143B-153(2a). 

.0105 CONSULTANTS 

The s ection provide s consultants to help county 
department s — in the development. — approval — ofid 
monitoring of individual child care arrangements. 
County departments shall contact the s ection when 
a ss istance i s needed. 

Statutory- Authority G.S. 143B-153(2a). 

.0106 IVEED TO MEET REQUIREMENTS 

f*i — Each ICCA must be evaluated for eompli 
ance annually. 

{b) — When an arrangement is found to be out of 
compliance with any requirement for participation, 
the county department may s et a time limit for 



1483 



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November 2, 1992 



PROPOSED RULES 



complianca. — If the arrangement faila to comply 
within the set time limit, approval will be terminat 

Statutory Authority G.S. 143B-153(2a). 

.0108 APPEALS 

Any ICCA deoiring to appeal a decision by the 
county department of social service s s hall follow 
the appeals procedures for grant in aid programs 
pursuant to G.S. 108 A 79. — The director of the 
county department shall provide the ICCA provid 
cr or applicant with appropriate information about 
the procedures for such an appeal. 



Statutory Authority G.S. 
108A-79; 143B-153(2a). 



108A-71; 108A-73; 



.0109 DEFINITION 

(a) "Nonregistered" day care home means an 
arrangement whereby day care js provided in a 
home that is not subject to registration or licensure 
pursuant to G.S. 1 10-86(2) ; i4j or the require- 
ments of OS, 110-106 or OS, 110-106.1. Pay- 
ment for care in the child's home by a member of 
the household shall be restricted to household 
members other than the child's parents or other 
members of the child's income unit as defined in 
10 NCAC 46H .0203. Grandparents, aunts, and 
uncles, including step and great relationships, are 
exempt from meeting the requirements in Rules 
.0213 - .0214 of this Subchapter. 

(b) The rules in this Subchapter shall apply only 
to those nonregistered homes as defined in this 
Rule which voluntarily choose to participate in the 
state subsidized day care program. 

Statutory Authority G.S. 143B-153(2a). 

.0110 DIVISION RESPONSIBILITY 

(a) The section, as defined m JO NCAC 46A 
.0005. [s responsible for the administration of the 
requirements and procedures for approving non- 
registered day care homes in which day care funds 
administered by the Department are used to subsi- 
dize the day care cost for children of families 
eligible for assistance. 

(b) The number of nonregistered day care home 
arrangements that shall be visited by the section 
for the purpose of evaluating compliance with the 
requirements for participation in the purchase of 
care program shall be included in the monitoring 
plan developed annually by the section. 

(c) All complaints registered against nonregis- 
tered day care homes shall be investigated by the 



section. The investigation may include an on-site 
visit by an authorized representative of the Depart- 
ment. 

(d) Documentation of substantiated complaints 
shall be available for parents to examine. 

Statutory Authority G.S. 1 438-1 53(2a). 

.0111 LOCAL PURCHASING AGENCY 
RESPONSIBILITY 

(a) The local purchasing agency shall be respon- 
sible for reviewing the application and parent- 
provider self-check list and for determining com- 
pliance with the requirements established by the 
Social Services Commission for all nonregistered 
day care homes from which care is purchased with 
funds administered by the Department. 

(b) The county director of social services is 
authorized to deny or revoke approval of an 
arrangement where the caregiver or an individual 
who resides m the home where care is provided 
was found by the county director to be the perpe- 
trator of abuse or neglect in accordance with G.S. 
7A-544 or G.S. I08A. Article 6, and where 
approval of the arrangement poses a threat to the 
child's health or safety . Approval may also be 
denied or revoked as described under the standard 
set forth in this Rule when an investigation of 
abuse or neglect is currently in process. Informa- 
tion regarding the fact that the prospective provid- 
er or individual hi the home has been reported or 
investigated for alleged abuse or neglect shall not 
be given to the parent or any other individual 
unless such information is a matter of public 
record. 

Authority G. S. 143B-153(2a): 45 C. F. R. 98. 41: 45 
C. F. R. 255. 4(c): 45 C. F. R. 257. 41 . 

.0112 INITIAL APPROVAL 

(a) Approval indicates that all applicable re- 
quirements have been met. 

(b) Temporary approval may be issued when an 
arrangement does not comply with all requirements 
but is expected to meet them within a specified 
period. Temporary approval for enrollment may 
be issued for a limited period of time not to exceed 
30 days. For extenuating circumstances, the 
purchasing agency shall have the discretion to 
extend the 30 day period. 

(c) When a provider fails to achieve compliance 
before the end of the specified time period de- 
scribed in Rule .01 12(b) of this Section, approval 
may be denied. 



7:15 



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November 2, 1992 



1484 



PROPOSED RULES 



Statiiion- Authorit}- G.S. 143B-153(2a). 

.0113 MAINTAINING APPROVAL 

(a) When a provider js found to be out of 
compliance at any time with any requirement for 
participation, the local purchasing agency or the 
section shall set a specified time limit for compli- 
ance. If the provider fails to comply within the 
specified time limit, approval may be terminated. 

(b) Each nonregistered day care home shall be 
evaluated for compliance annually as described in 
Rule .01 1 1 in this Section. 

Statuiory Authority G.S. 143B-153(2a). 

.0114 PAYMENT REQUIREMENTS 

(a) Any nonregistered day care home that wishes 
to participate in the state purchase of care pro- 
gram, as defined in jO NCAC 46A .0005. must 
comply u'ith the requirements for nonregistered 
child care homes codified in Section .0200 of this 
Subchapter, except as specified in Rule .0109 of 
this Section. 

(b) ]n order to receive payment for subsidized 
child care, any nonregistered child day care home 
arrangement must be enrolled and be in compli- 
ance v.ith all applicable requirements of this 
Subchapter. 

Statuton- Authorit}- G.S. ]43B-153(2a). 

.0115 .\PPEALS 

Any nonregistered day care home desiring to 
appeal a decision by the local purchasing agency 
shall follow the appeals procedures for grant-in-aid 
programs pursuant to G.S. 108A-79 and any 
subsequent amendments. The local purchasing 
agency shall pro\'ide the nonregistered day care 
home provider or applicant with appropriate 
information about the procedures for such an 
appeal. 

Statutory Authority- G.S. 143B-153(2a). 

SECTION .0200 - REQUIREMENTS FOR 
NONREGISTERED DAY CARE HOMES 

.0201 APPROVAL AND REGISTRATION 

(a) To obtain full approval status, an individual 
child care — arrangement (ICCA) caregiver must 
comply ^ith all standards for registration of child 
dav oarc homo s . — These [standards and the s pceitic 
mea s ures by which compliance with the s e s tan 
dards is documented are publi s hed in the Manual 
called Standards for Registration of Child Dav 



Care Homes and the Self Check List which arc 
available from the Child Day Care Section. Divi - 
sion of Facility Services. 

(b) Each individual child care arrangement must 
also meet applicable state requirements for regis 
tration of child day care homes as specified in 10 
NCAC 3U .1700. with applicable regulations in 10 
NCAC 3U and Article 7 of Chapter 1 10. and with 
any other s tate and local regulations for the opera 
tion of day care as specified by state and local 
authorities. 



Statutory Authority G.S. 143B-153(2a). 

.0213 PARENT-PROVIDER CHECKLIST 

Prior to approval, each provider must submit a 
check list that indicates satisfactory compliance 
with all applicable requirements. The checklist 
must be completed and signed by the provider and 
the parent. 

Statutory Authority G.S. 143B-153(2a). 

.0214 HEALTH AND SAFETY 
STANDARDS 

Each nonregistered day care home shall comply 
with the following requirements in order to main- 
tain a safe, healthy and sanitary environment for 
children: 
(I) A health and emergency information 
form completed and signed by the child's 
parents or guardian shall be on file for 
each child who attends. The completed 
form must be on file on the first day the 
child attends with the exception of the 
child's immunization record which must 
be completed within 30 days after the 
first day the child attends. A recom- 
mended form is available from the sec- 
tion. However, the provider may use 
another form provided that form includes 
the following information: 
the child's name, address, and date of 
birth; 

the names of individuals to whom the 
child may be released; 
the general status of the child's health; 



M 
M 

m 



any allergies and/or restrictions on the 
child's participation in activities with 
specific instructions from the child's 
parent or health professional; 
the names and phone numbers of per- 
sons to be contacted [n an emergency 
situation; 
the name and phone number of the 



1485 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



is) 



im 



ill 

(2) 



13} 

£4} 
(51 



(6} 



m 

(9) 

(10) 
ILU 

(12) 



child's health provider and preferred 
hospital; 

authorization for the provider to admin- 
ister specified medication according to 
the parent's instructions, if the parent 
so desires; 

authorization for the provider to seek 
emergency medical care in the parent's 
absence; 

a record of the child's immunizations as 
required pursuant to G.S. 130A-152. 



The parent and provider must discuss and 
agree upon the methods of discipline to 
be used with each child. Corporal pun- 
ishment shall be administered only with 
the written consent of the parent. 
All areas used by the children, indoors 
and outdoors, shall be kept clean and 
orderly and free of items which are haz- 
ardous to children. 

First-aid supplies shall be kept m a place 
easily accessible to the provider but out 
of the reach of children. 
A working telephone shall be within 
close proximity of the day care home 
arrangement. A written plan shall be 
developed that describes how the provid- 
er will access emergency assistance. 
Emergency phone numbers shall be 
readily available. 

To assure the safety of children whenever 
they are transported, the provider, or any 
other transportation provider, shall com- 
ply with all applicable state and federal 
laws concerning the transportation of 
passengers. All children regardless of 
age or location in the vehicle shall be 
restrained by individual seat belts or child 
restraint devices. 



Garbage shall be stored in waterproof 
containers with tight fitting covers. 
The provider shall have sanitary toileting 
facilities, and sanitary diaper changing 
and handwashing facilities. 



Soiled diapers shall be placed in a cov- 
ered leak-proof container which is emp- 
tied and cleaned frequently. 
The provider shall wash her hands after 
toileting and after diapering each child. 
The provider shall complete and keep on 
file a health self-questionnaire which 
attests to the operator's physical and 
emotional ability to care for children. 
Each provider shall obtain written proof 
that she is free of active tuberculosis 



prior to initial approval and every two 
years thereafter. 

(13) The provider shall serve nutritious meals 
and snacks appropriate in amount and 
type of foods served for the ages of 
children in care. 

(14) The provider shall provide daily opportu- 
nities for supervised outdoor play or 
fresh air, weather permitting. 

(15) The provider shall assure that the struc- 
ture in which the day care arrangement is 
located is fit for human habitation (i.e. 
has clean drinking water, an approved 
sanitary disposal system, and weather- 
tight construction). 

(16) Fuel burning heaters used when the 
children are in care shall be properly 
vented to the outside. Fuel burning 
heaters , fireplaces, stoves, and portable 
electric heaters, when in use, shall have 
a securely attached guard . 

( 17) A battery-operated smoke detector shall 
be installed in the primary caregiving 
area of each nonregistered day care 
home. 

Statutory Authority G.S. 143B-153(2a). 

.0215 PROVIDER REQUIREMENTS 

(a) Each provider shall ensure that the parent or 
adult legally responsible for the child has unlimited 
access to their child and to the provider during the 
hours care is provided. 

(b) No person shall be permitted to participate 
as a child care provider in the purchase of care 
program who has been convicted of a crime 
involving child abuse, child neglect, or moral 
turpitude, or who is an habitually excessive user of 
alcohol or who illegally uses narcotics or other 
impairing drugs, or who is mentally or emotionally 
impaired to an extent that may be injurious to 
children. 

(c) The provider shall be at least 18 years of 
age. 

Statutory Authority G.S. 143B-153(2a). 

TITLE 12 - DEPARTMENT OF JUSTICE 

I\otice is hereby given in accordance with G.S. 
150B-2L2 that the North Carolina Alarm Systetm 
Licensing Board intends to amend rule cited as 12 
NCAC U .0302. 



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1486 



PROPOSED RULES 



1 he proposed effective date of this action is 
February 1. 1993. 

1 he public hearing will be conducted at 11:00 
a.m. on November 17, 1992 at the Conference 
Room. State Bureau of Investigations, 3320 Old 
Garner Road, Raleigh, N. C. 

Jxeason for Proposed Action: Amendment in- 
creases the registration fee from $15.00 to $20.00 
and increases the registration period from one (1) 
to two (2) years. 

i^onunenl Procedures: Interested persons max 
present their views cither orally or in writing at 
the hearing. In addition, the record of hearing 
will be open for receipt of written comments until 
December 2, 1992. Written comment must be 
delivered to or mailed to: James F. Kirk, Alarm 
Systems Licensing Board, 3320 Old Garner Road, 
Raleigh. N. C. 27626-0500. 

Jbditor's Note: This Rule has been filed as a 
temporary amendment effective on October 6, 
1992 for a period of 180 days or until the perma- 
nent rule becomes effective, whichever is sooner. 

CHAPTER n - N. C. ALARM SYSTEMS 
LICENSING BOARD 

SECTION .0300 - PROVISION FOR 
REGISTRANTS 

.0302 FEES FOR REGISTRATION 

(a) Registration fees are as follows: 

(1) Fift ee n dollar s ($15.00) Twenty dollars 
($20.00) non-refundable annual biannu- 
al registration fee; 

(2) Ten dollar ($10.00) non-refundable 
re-issue fee for lost cards or for regis- 
tration of an employee who changes 
employment to another licensee; 

(3) Ten dollar ($10.00) non-refundable 
annual multiple registration fee. 

(b) Fees shall be paid in the form of a check or 
money order made payable to the Alarm Systems 
Licensing Board. 

Statutory Authority G.S. 74D-7. 

TITLE 15 A - DEPARTMENT OF 
ENVIRONMENT, HEALTH. AND 



NATURAL RESOURCES 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the Environmental Management 
Commission intends to adopt rules cited as 15A 
NCA C 2D . 0947 - . 0952 and amend rules cited as 
15A NCAC 2D .0518, .0531 - .0532, .0901 - 
.0903. .0907 - .0912, .0936, .1004; 2H .0603. 

1 he proposed effective date of this action is 
February 1. 1993. 

1 he public hearing will be conducted at 7:00 
p.m. on November 19. 1992 at the Char- 
lotte/Mecklenburg Government Center. Ccmference 
Center. Room 267. 600 East 4th Street. Charlotte, 
NC 28202. 

M\.eason for Proposed Actions: Extend Rules to 
new nonattainment areas and to minor sources to 
satisfy Federal Regulations. 

i^omment Procedures: All persons interested in 
these matters are invited to attend the public 
hearing. Any person desiring to comment for nwre 
than three minutes is requested to submit a written 
statement for inclusion in the record of proceed- 
ings at the public hearing. The hearing officer 
may limit oral presentation lengths to five minutes 
if many people want to speak. The record of 
proceedings will remain open for 30 days following 
the hearings to receive additional written state- 
ments. To be included, the statement must be 
received by the Department within 30 daxs after 
the hearing date. Comments should be sent to and 
additional information concerning the hearing or 
the proposals may be obtained by contacting: 

Mr. Tito mas C. Allen 
Division of Environmental Maruigement 

P. O. Box 29535 

Raleigh, North Carolina 27626-0535 

(919) 733-1489. 

CHAPTER 2 - ENVIRONTVIENTAL 
MANAGEMENT 

SUBCHAPTER 2D - AIR POLLLTION 
CONTROL REQLTREMENTS 

SECTION .0500 - EXHSSION CONTROL 
STANDARDS 



1487 



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November 2, 1992 



PROPOSED RULES 



.0518 MISCELLANEOUS VOLATILE 
ORGANIC COMPOUND 
EMISSIONS 

(a) This Regulation Rule shall be applicable to 
all sources of volatile organic compound emissions 
for which no other volatile organic compound 
emission control standards are applicable, includ- 
ing those standards found in Section .0900 of this 
Subchapter as well as Regulations Rules .0524 and 
.0525 of this Section. 

(b) A person shall not place, store or hold in 
any stationary tank, reservoir, or other container 
with a capacity greater than 50,000 gallons, any 
liquid compound containing carbon and hydrogen 
or containing carbon and hydrogen in combination 
with any other element which has a vapor pressure 
of 1 .5 pounds per square inch absolute or greater 
under actual storage conditions unless such tank, 
reservoir, or other container: 

( 1 ) is a pressure tank, capable of maintain- 
ing working pressures sufficient at all 
times to prevent vapor gas loss into the 
atmosphere; or 

(2) is designed and equipped with one of 
the following vapor loss control devic- 
es: 

(A) a floating pontoon, double deck type 
floating roof or internal pan type 
floating roof equipped with closure 
seals to enclose any space between the 
cover's edge and compartment wall; 
this control-equipment shall not be 
permitted if the compound is a photo- 
chemically reactive material having a 
vapor pressure of 1 1 .0 pounds per 
square inch absolute or greater under 
actual storage conditions; all tank 
gauging or sampling devices shall be 
gas-tight except when tank gauging or 
sampling is taking place; 

(B) a vapor recovery system or other 
equipment or means of air pollution 
control as approved by the Director 
which reduces the emission of organic 
materials into the atmosphere by at 
least 90 percent by weight; all tank 
gauging or sampling devices shall be 
gas-tight except when tank gauging or 
sampling is taking place. 

(c) A person shall not load in any one day more 
than 20,000 gallons of any volatile organic com- 
pound into any tank-truck, trailer, or railroad tank 
car from any loading facility unless the loading 
uses submerged loading through boom loaders 
that extend down into the compartment being 



loaded or by other methods approved by the 
Director. 

(d) A person shall not discharge from all sources 
at any one plant site more than a total of 40 
pounds of photochemically reactive solvent into the 
atmosphere in any one day, from any article, 
machine, equipment or other contrivance used for 
employing, applying, evaporating or drying any 
photochemically reactive solvent or substance 
containing such solvent unless the discharge has 
been reduced by at least 85 percent by weight. 
Photochemically reactive solvents include any 
solvent with an aggregate of more than 20 percent 
of its total volume composed of the chemical 
compounds classified in this Paragraph, or which 
exceed any of the following percentage composi- 
tion limitations, referred to the total volume of the 
solvent: 

(1) a combination of hydrocarbons, alco- 
hols, aldehydes, esters, ethers, or 
ketones having an olefinic or 
cyclo-olefinic type of unsaturation 
except perchloroethylene— five percent; 

(2) a combination of aromatic hydrocarbons 
with eight or more carbon atoms to the 
molecule except ethylbenzene— eight 
percent; 

(3) a combination of ethylbenzene, ketones 
having branched hydrocarbon structure, 
trichloroethylene, or toluene--20 per- 
cent. 

Whenever any photochemically reactive solvent, or 
any constituent of any photochemically reactive 
solvent may be classified from its chemical struc- 
ture into more than one of the groups of chemical 
compounds in this Paragraph or chemical com 
pounds , it shall be considered as a member of the 
most reactive chemical compound group, that is, 
that group having the least allowable percent of the 
total volume of solvents. 

(e) A source need not comply with Paragraphs 
(b), (c), or (d) of this Regulation Rule if it com- 
plies with otherwise applicable regulations rules in 
Section .0900 of this Subchapter including Regula 
tion .0902, APPLICABILITY, of this Subchapter, 
notwithstanding, — among other thing s , — stze — aftd 
location exemptions found in Paragraph — (b) of 
Regulation .0902 of this Subchapter except Rules 
.0902, .0950, .0951(a), and .0952 of this Subchap- 
ter . However, the source shall not have to comply 
with Regulation s Rules .0903 through .091 1 of this 
Subchapter. This Paragraph shall not apply to 
sources located m an area identified in Rule 
.0902(a) of this Subchapter. 

(f) Any source to which this Regulation Rule 



7:15 



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November 2, 1992 



1488 



PROPOSED RULES 



applies shall be exempted from the requirements of 
Paragraphs (b), (c), or (d) if control equipment is 
installed and operated which meets the require- 
ments of best available control technology as 
defined in and determined by procedures of Regu 
lation Rule .0530 of this Section. A new best 
available control technology determination and 
procedure need not be performed if in the judge- 
ment of the Director a previous best available 
control technology determination is applicable. 

(g) Sources at a plant site with emission limits 
established by Paragraphs (e) or (f) of this Regula 
tioft Rule shall be excluded from consideration 
when determining the compliance of any remaining 
sources with Paragraph (d) of this Regulation 
Rule . 

Statuton- Authoritx G.S. 143-215. 3(a)(1); 
143-215. 107(a)(5). 

.0531 SOURCES EV NON ATTAINMENT 
AREAS 

(a) This Rule applies to certain new major 
stationary sources and major modifications of 
sources of volatile organic compounds or nitrogen 
oxides which are located in one of the following 
areas: an area which is designated by th e U.S. 
Environmental Protection Agency (EPA) to be a 
nonattainmcnt area a s of May 1. 1982. 

(1) Davidson County. 

(2) Durham County. 

(3) Forsyth County. 

(4) Gaston County. 

(5) Guilford County. 

(6) Mecklenburg County. 
£21 Wake County, 

(8) Dutchville Township in Granville 
County, and 

(9) that part of Davie County bounded by 
the Yadkin Ri\er. Dutchmans Creek. 
North Carolina Highway 801 . Fulton 
Creek and back to Yadkin River. 

This Rule applies to certain new major stationary 
sources and major modifications of sources of 
carbon monoxide which are located in Durham 
County. Forsyth County. Mecklenburg County, 
and Wake County. 

(b) For the purpose of this Rule the definitions 
contained in 40 CFR 51.165(a)(1) and 40 CFR 
51.301 shall apply. The reasonable period speci- 
fied in 40 CFR 51 . 165(a)(l)(vi)(C)(l) shall be 
seven years. 

(c) This Rule is not applicable to: 

( 1 ) complex sources of air pollution that 
are regulated only under Section .0800 



of this Subchapter and not under any 
other regulation rule in this Subchapter; 

(2) emission of pollutants at the new major 
stationary source or major modification 
located in the nonattainment area which 
are pollutants other than the pollutant or 
pollutants for which the area is 
nonattainment (A major stationary 
source or major modification that is 
major for volatile organic compounds 
or nitrogen oxides is also major for 
ozone.); 

(3) emission of pollutants for which the 
source or modification is not major; 

(4) a new source or modification which 
qualifies for exemption under the provi- 
sion of 40 CFR 51.165(a)(4); and 

(5) emission of the following volatile or- 
ganic compounds: 

carbon monoxide. 
carbon dioxide. 



LAI 

iDj 
IE) 
(A) 

m 

Xm-f 

m 
mi 

iYi 



carbonic acid. 



metallic carbides or carbonates, 
ammonium carbonate. 

(F) methane, 

(G) ethane, 

(H ) trich lorof luoromethane 
(chlorofluorocarbon 11), 
( I ) dich lorodi fluoromethane 
(chlorofluorocarbon 12), 
( J ) c h 1 o ro d i f I u o ro m e t h an e 
(chlorofluorocarbon 22), 
(K) trifluoromethane (fluorocarbon 
23), 

( L ) trichlorotrifluoroethane 
(chlorofluorocarbon 113), 
(M) dichlorotetrafluoroethane 
(chlorofluorocarbon 1 14), 
(N ) chloropentafluoroethane 
(chlorofluorocarbon 115), 
(O) 1 , 1 , 1-trichloroethane (methyl 
chloroform), 

(P) dichloromethane (methylene chlo- 
ride), 

( ) dichlorotrifluoroethane 
(hydrochlorofluorocarbon 123), 
( R ) tetrafluoroethane 
(hydro fluorocarbon 134a), 
( S ) d i c h I o ro f I uo ro et h ane 
(hydrochlorofluorocarbon 141b), and 
( T ) c h 1 o r o d i f 1 u o r o e t h a n e 
(hydrochlorofluorocarbon 142b), 
2-chloro- 1,1,1 ,2-tetrafluoroethane 
(hydrochlorofluorocarbon 124), 
pentafluoroethane (hydro fluorocarbon 



1489 



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November 2, 1992 



PROPOSED RULES 



125), 
£W} 1.1.2.2-tetrafluoroethane 

(hydrofluorocarbon 134), 
(X) 1 . 1 . 1 -trifluoroethane 

(hvdrofluorocarbon 143a), 
(Y) 1 , 1 -difluorocarborihydrofluorocarbon 

152a), and 
(Z) perfiuorocarbon compounds that fall 
into these classes: 
(i) cyclic, branched, or linear com- 
pletely fluorinated alkanes; 
(ii) cyclic, branched, or linear com- 
pletely fluorinated ethers with no 
unsaturations; 
(iii) cyclic, branched, or linear com- 
pletely fluorinated tertiary amines 
with no unsaturations; and 
(iv) sulfur containing perfluorocarbons 
with no unsaturations and with 
sulfur bonds only to carbon and 
fluorine. 

(d) Paragraphs (a) and (b) of R«le 15 NCAC 2H 
.0601 are not applicable to any source to which 
this Rule applies. The source shall apply for and 
receive a permit as required in Paragraph (c) of 
Rule 15 NCAC 2H .0601. 

(e) To issue a permit to a source to which this 
Rule applies, the Director director shall determine 
that the source will meet the following require- 
ments: 

(1) The source will emit the nonattainment 
pollutant at a rate no more than the 
lowest achievable emission rate. 

(2) The owner or operator of the proposed 
new or modified source has demonstrat- 
ed that all major stationary sources in 
the State which are owned or operated 
by this person (or any entity control- 
ling, controlled by, or under common 
control with this person) are subject to 
emission limitations and are in compli- 
ance, or on a schedule for compliance 
which is federally enforceable or con- 
tained in a court decree, with all appli- 
cable emission limitations and standards 
of this Subchapter which EPA has 
authority to approve as elements of the 
North Carolina State Implementation 
Plan for Air Quality. 

(3) The source will obtain sufficient emis- 
sion reductions of the nonattainment 
pollutant from other sources in the 
nonattainment area so that the emissions 
from the new major source and associ- 
ated new minor sources will be less 



than the emissions reductions by a ratio 
of at least 1.00 to 1.15 for volatile 
organic compounds and nitrogen oxides 
and by a ratio of greater than one for 
carbon monoxide . The baseline for this 
emission offset shall be the actual emis- 
sions of the source from which offset 
credit is obtained. Emission reductions 
must not include any reductions result- 
ing from compliance (or scheduled 
compliance) with applicable regulations 
rules in effect prior to the application. 
The difference between the emissions 
from the new major source and associ- 
ated new minor sources of carbon 
monoxide and the emission reductions 
must be sufficient to represent reason- 
able further progress toward attaining 
the Ambient Air Quality Standards. 
The emissions reduction credits must 
also conform to the provisions of 40 
CFR 51. 165(a)(3)(ii)(A) through (G). 
(4) The North Carolina State Implementa- 
tion Plan for Air Quality is being car- 
ried out for the nonattainment area in 
which the proposed source is located. 

(f) When a particular source or modification 
becomes a major stationary source or major modi- 
fication solely by virtue of a relaxation in any 
enforceable limitation established after August 7, 
1980, on the capacity of the source or modification 
to emit a pollutant, such as a restriction on hours 
of operation, then the provisions of this Rule shall 
apply to the source or modification as though 
construction had not yet begun on the source or 
modification. 

(g) To issue a permit to a source of a 
nonattainment pollutant for which the stat e has 
demonstrated to the satisfaction of the Administra 
tor of EPA that attainment is not possible in the 
area within the period prior to Deoembor 3 1 , 
1982, despite the implementation of all reasonably 
available mea s ure s, the Director shall determine, 
in addition to the other requirements of this Rule, 
that an analysis (produced by the permit applicant) 
of alternative sites, sizes, production processes, 
and environmental control techniques for source 
demonstrates that the benefits of the source signifi- 
cantly outweigh the environmental and social costs 
imposed as a result of its location, construction, or 
modification. 

(h) Approval of an application with regard to the 
requirements of this Rule shall not relieve the 
owner or operator of the responsibility to comply 
fully with applicable provisions of other regula 



7:15 



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November 2, 1992 



1490 



PROPOSED RULES 



tions rules of this Chapter and any other require- 
ments under local, state, or federal law. 

(i) When a source or modification subject to this 
Rule may affect the visibility of a Class I area 
named in Paragraph (c) of Rule .0530 of this 
Section, the following procedures shall be fol- 
lowed: 

(1) The owner or operator of the source 
shall provide an analysis of the impair- 
ment to visibility that would occur as a 
result of the source or modification and 
general commercial, industrial and 
other growth associated with the source 
or modification. 

(2) The Director shall provide written 
notification to all affected Federal Land 
Managers within 30 days of receiving 
the permit application or within 30 days 
of recei\'ing advance notification of an 
application. The notification shall be at 
least 30 days prior to the publication of 
the notice for public comment on the 
application. The notification shall 
include a copy of all information rele- 
\ant to the permit application including 
an analysis provided by the source of 
the potential impact of the proposed 
source on visibility. 

(3) The Director shall consider any analysis 
concerning visibility impairment per- 
formed by the Federal Land Manager if 
the analysis is received within 30 days 
of notification. If the Director finds 
that the analysis of the Federal Land 
Manager fails to demonstrate to his 
satisfaction that an adverse impact on 
visibility will result in the Class I area, 
the Director shall provide in the notice 
of public hearing on the application, an 
e.xplanation of his decision or notice as 
to where the explanation can be ob- 
tained. 

(4) The Director shall only issue permits to 
those sources whose emissions will be 
consistent with making reasonable 
progress towards the national goal of 
preventing any future, and remedying 
any existing, impairment of visibility in 
mandatory Class I areas when the im- 
pairment results from man-made air 
pollution. In making the decision to 
issue a permit, the Director shall con- 
sider the cost of compliance, the time 
necessary' for compliance, the energy 
and nonair quality environmental im- 



pacts of compliance, and the useful life 
of the source. 
(5) The Director may require monitoring of 
visibility in or around any Class I area 
by the proposed new source or modifi- 
cation when the visibility impact analy- 
sis indicates possible visibility impair- 
ment. The requirements of this Para- 
graph shall not apply to nonprofit 
health or nonprofit educational institu- 
tions. 

Sruruton- Authorin G.S. 143-215. 3(a)(l ); 
143-215. 107(a)(5): 143-215. 108(bj. 

.0532 SOURCES CONTRIBUTING TO AN 
AMBIENT VIOLATION 

(a) This Regulation Rule applies to certain new 
major stationan,' sources and major modifications 
to which Rule .0531 of this Section does not apply 
which arc located in an area which is de s ignated 
by the — L ' .S. — Environm e ntal — Protection Agency 
(EPA) to be an attainment or unclassifiablc area as 
of May 1 , 19 8 3, and which would contribute to a 
violation of a national ambient air quality standard 
but which would not cause a new violation. 

(b) For the purpose of this Regulation Rule the 
definitions contained in Section II. A. of Appendix 
S of 40 CFR Part 51 shall apply. 

(c) The Regulation Rule is not applicable to: 

(1) complex sources of air pollution that 
are regulated only under Section .0800 
of this Subchapter and not under any 
other regulation rule of this Subchapter; 

(2) emission of pollutants for which the 
area in which the new or modified 
source is located is designated as 
nonattainment; 

(3) emission of pollutants for which the 
source or modification is not major; 

(4j emission of pollutants other than sulfur 
dioxide, total suspended particulates, 
nitrogen oxides, and carbon monoxide; 

(5) a new or modified source whose impact 
will increase not more than: 
1 .0 ug/m ' of SOt on an annual basis. 



(A) 
(B) 
(C) 
(D) 

(E) 

(F) 



5 ug/m"' of SO, on a 24-hour basis, 

25 ug/m"' of SO, on a 3-hour basis, 

1 .0 ug/m' of total suspended 

particulates on an annual basis, 

5 ug/m"' of total suspended 

particulates on a 24-hour basis, 

1 .0 us/m"' of NO, on an annual basis. 



1491 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



(G) 0.5 mg/m'' of carbon monoxide on an 

8-hour basisti 
(H) 2 mg/m'' of carbon monoxide on a 

one-hour basisf^ 
(I) 1.0 ug/m"' of PMIO on an annual 

basisf:, or 
(J) 5 ug/m- of PMIO on a 24-hour ba- 

sisfj 
at any locality that does not meet a 
national ambient air quality standardrj 

(6) sources which are not major unless 
secondary emissions are included in 
calculating the potential to emit; 

(7) sources which are exempted by the 
provision in Section II. F. of Appendix 
S of 40 CFR Part 51; 

(8) temporary emission sources which will 
be relocated within two years; and 

(9) emissions resulting from the construc- 
tion phase of the source. 

(d) Paragraphs (a) and (b) of R«4e 15A NCAC 
2H .0601 are not applicable to any source to 
which this Rule applies. The source shall apply 
for and receive a permit as required in Paragraph 
(c) of Rule 15A NCAC 2H .0601. 

(e) To issue a permit to a new or modified 
source to which this Regulation Rule applies, the 
Director shall determine that the source will meet 
the following conditions: 

(1) The sources will emit the nonattainment 
pollutant at a rate no more than the 
lowest achievable emission rate. 

(2) The owner or operator of the proposed 
new or modified source has demon- 
strated that all major stationary sources 
in the State which are owned or operat- 
ed by this person (or any entity control- 
ling, controlled by, or under common 
control with this person) are subject to 
emission limitations and are in compli- 
ance, or on a schedule for compliance 
which is federally enforceable or con- 
tained in a court decree, with all appli- 
cable emission limitations and standards 
of this Subchapter which EPA has 
authority to approve as elements of the 
North Carolina State Implementation 
Plan for Air Quality. 

(3) The source will satisfy one of the fol- 
lowing conditions: 

(A) The source will comply with Part (e) 
(3) (A) of Regulation Rule .0531 of 
this Section when the source is evalu- 
ated as if it were in the nonattainment 
area; or 



(B) The source will have an air quality 
offset, i.e., the applicant will have 
caused an air quality improvement in 
the locality where the national ambi- 
ent air quality standard is not met by 
causing reductions in impacts of other 
sources greater than any additional 
impact caused by the source for which 
the application is being made. The 
emissions reductions creating the air 
quality offset shall be placed as a 
condition in the permit for the source 
reducing emissions. The require- 
ments of this Part may be partially 
waived if the source is a resource 
recovery facility burning municipal 
solid waste, the source must switch 
fuels due to lack of adequate fuel 
supplies, or the source is required to 
be modified as a result of EPA regu- 
lations and no exemption from such 
regulations is available and if: 
(i) the permit applicant demonstrates 
that it made its best efforts to 
obtain sufficient air quality offsets 
to comply with this Part; 
(ii) the applicant has secured all 

available air quality offsets; and 
(iii) the applicant will continue to seek 
the necessary air quality offsets 
and apply them when they become 
available, 
(f) At such time that a particular source or 
modification becomes a major stationary source or 
major modification solely by virtue of a relaxation 
in any enforceable limitation established after 
August 7, 1980, on the capacity of the source or 
modification to emit a pollutant, such as a restric- 
tion on hours of operation, then the provisions of 
this Regulation Rule shall apply to the source or 
modification as though construction had not yet 
begun on the source or modification. 

Statutory Authority G.S. 143-215. 3(a)(l ); 
143-215. 107(a)(5): 143-215. 108(h). 

SECTION .0900 - VOLATILE ORGANIC 
COMPOUNDS 

.0901 DEFINITIONS 

For the purpose of this Section, the following 
definitions apply: 
(1) "Coating" means a functional, protective, 

or decorative film applied in a thin layer 

to a surface. 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1492 



PROPOSED RULES 



(2) 
(3) 



(4) 



(5) 

(6) 

(7) 



(8) 
(9) 



(10) 



(II; 



"Coating applicator" means an apparatus 
used to apply a surface coating. 
"Coating line" means one or more appa- 
ratus or operations in a single line where- 
in a surface coating is applied, dried, 
and/or or cured and which include a 
coating applicator and flashoff area and 
may include an oven or associated con- 
trol devices. 

"Continuous vapor control system" 
means a vapor control system which 
treats vapors displaced from tanks during 
tilling on a demand basis without inter- 
mediate accumulation. 
"Delivered to the applicator" means the 
condition of coating after dilution by the 
user just before application to the sub- 
strate. 

"Flashoff area" means the space between 
the application area and the oven. 
"High solids coating" means a coating 
which contains a higher percentage of 
solids and a lower percentage of volatile 
organic compounds and water thereby 
potentially lowering volatile organic 
compound emissions; usually paints with 
greater than 60 percent solids by volume 
are considered high solids coatings al- 
though the term is often applied to any 
coating that meets the Environmental 
Protection Agency Control Technology 
Guidelines. 

"Hydrocarbon" means any organic com- 
pound of carbon and hydrogen only. 
"Incinerator" means a combustion appa- 
ratus designed for high temperature 
operation in which solid, semisolid, 
liquid, or gaseous combustible wastes are 
ignited and burned efficiently and from 
which the solid and gaseous residues 
contain little or no combustible material. 
"Intermittent vapor control system" 
means a vapor control system which 
employs an intermediate vapor holder to 
accumulate vapors displaced from tanks 
during filling. The control device treats 
the accumulated vapors only during 
automatically controlled cycles. 
"Loading rack" means an aggregation or 
combination of loading equipment ar- 
ranged so that all loading outlets in the 
combination can be connected to a tank 
truck or trailer parked in a specified 
loading space. 
"Low solvent coating" means a coating 



which contains a substantially lower 
amount of volatile organic compound 
than conventional organic solvent borne 
coatings; it usually falls into one of three 
major groups of high solids, waterborne, 
or powder coatings. 

(13) "Organic material" means a chemical 
compound of carbon excluding carbon 
monoxide, carbon dioxide, carbonic acid, 
metallic carbides or carbonates, and 
ammonium carbonate. 

(14) "Oven" means a chamber within which 
heat is used to bake, cure, polymerize, 
and/or or dry a surface coating. 

(15) "Potential emissions" means the quantity 
of a pollutant which would be emitted at 
the maximum capacity of a stationary 
source to emit the pollutant under its 
physical and operational design. Any 
physical or operational limitation on the 
capacity of the source to emit a pollutant, 
including air pollution control equipment 
and restrictions on hours of operation or 
on the type or amount of material 
combusted, stored, or processed, shall be 
treated as part of its design if the limita- 
tion or the effect it would have on emis- 
sions is described or contained as a con- 
dition in the federally enforceable permit. 
Secondary emissions do not count in 
determining potential emissions of a 
stationary source. Fugitive emissions 
count, to the extent quantifiable, in deter- 
mining the potential emissions only in 
these cases: 

petroleum refineries; 
chemical process plants; and 
petroleum storage and transfer units 
with a total storage capacity exceeding 
3(X),0(X) barrels. 
"Prime coat" means the first film of 
coating applied to a surface to protect it 
or to prepare it to receive subsequent 
coatings. 

"Reasonably available control technolo- 
gy" (also denoted as RACT) means the 
lowest emission limit which a particular 
source is capable of meeting by the appli- 
cation of control technology that is rea- 
sonably available considering technologi- 
cal and economic feasibility. It may 
require technology which has been ap- 
plied to similar, but not necessarily iden- 
tical, source categories. 
(18) "Reid vapor pressure" means the absolute 



(a) 
(b) 
(c) 



(16) 



(17) 



1493 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



vapor pressure of volatile crude oil and 
volatile nonviscous petroleum liquids 
except liquefied petroleum gases as deter- 
mined by American Society for Testing 
and Materials, Part 17, 1973, D-323-72 
(reapproved 1977). 

(19) "Shutdown" means the cessation of oper- 
ation of a source or a part thereof or 
emission control equipment. 

(20) "Solvent" means organic materials which 
are liquid at standard conditions and 
which are used as dissolvers, viscosity 
reducers, or cleaning agents. 

(21) "Standard conditions" means a tempera- 
ture of 68°F and pressure of 29.92 inch- 
es of mercury. 

(22) "Startup" means the setting in operation 
of a source or emission control equip- 
ment. 

(23) "Substrate" means the surface to which a 
coating is applied. 

(24) "Topcoat" means the final films of coat- 
ing applied in a multiple or single coat 
operation. 

(25) "True vapor pressure" means the equilib- 
rium partial pressure exerted by a petro- 
leum liquid as determined in accordance 
with methods described in American 
Petroleum Institute Bulletin 2517, "Evap- 
oration Loss from Floating Roof Tanks," 
1962. 

(26) "Vapor collection system" means a vapor 
transport system which uses direct dis- 
placement by the liquid loaded to force 
vapors from the tank into a vapor control 
system . 

(27) "Vapor control system" means a system 
which prevents release to the atmosphere 
of at least 90 percent by weight of organ- 
ic compounds in the vapors displaced 
from a tank during the transfer of gaso- 
line. 

(28) "Volatile organic compound" (also denot- 
ed as VOC) means any compound of 
carbon whose volatile content can be 
determined by the procedure described in 
Regulations Rules .091 3 or .0939 of this 
Section excluding: 

(a) carbon monoxide, 

(b) carbon dioxide, 

(c) carbonic acid, 

(d) metallic carbides or carbonates, 

(e) ammonium carbonate, 

(f) methane, 

(g) ethane. 



(h) trichlorofluoromethane 

(chlorofluorocarbon 11), 
(i) dichlorodifluoromethane 

(chlorofluorocarbon 12), 
(j) chlorodifluoromethane 

(chlorofluorocarbon 22), 
(k) trifluoromethane (fluorocarbon 23), 
(1) trichlorotrifluoroethane 

(chlorofluorocarbon 113), 
(m) dichlorotetrafluoroethane 

(chlorofluorocarbon 114), 
(n) chloropentafluoroethane 

(chlorofluorocarbon 115), 
(o) 1,1,1-trichlorethane (methyl chloro- 
form), 
(p) dichloromethane (methylene chloride), 
(q) dichlorotrifluoroethane 

(hydrochlorofluorocarbon 123), 
(r) tetrafluoroethane (hydrofluorocarbon 

134a), 
(s) dichlorofluoroethane 

(hydrochlorofluorocarbon 141b), as4 
(t) chlorodifluoroethane 

(hydrochlorofluorocarbon 142b)Tj 
(u) 2-chloro- 1 , 1 , 1 ,2- tetrafluoroethane 

(hydrochlorofluorocarbon 124), 
(v) pentafluoroethane (hydrofluorocarbon 

125), 
(w) 1 . 1 ,2,2-tetrafluoroethane 

(hydrofluorocarbon 134), 
(x) 1 , 1 . 1 -trifluoroethane 

(hydrofluorocarbon 143a), 
(y) 1 ,1-difluorocarbon (hydrofluorocarbon 

152a), and 
(z) perfluorocarbon compounds that fall 

into these classes: 
cyclic, branched, or linear completely 
fluorinated alkanes; 
cyclic, branched, or linear completely 
fluorinated ethers with no 
unsaturations; 



ii) 
iiii 

(iii) 
(iv) 



cyclic, branched, or linear completely 
fluorinated tertiary amines with no 
unsaturations; and 

sulfur containing perfluorocarbons 
with no unsaturations and with sulfur 
bonds only to carbon and fluorine. 



Statutory A uthority G.S. 143-215. 3(a)(1). 

.0902 APPLICABILITY 

(a) With the exceptions stated in Paragraph ftv) 
(c) of this Regulation Rule , this Section applies^ hi 
accordance with Rules .0907 and .0946 of this 
Section, throughout the entire State of — North 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1494 



PROPOSED RULES 



Carolina, to all sources of \olatile organic com- 
poundsT in the following counties and parts of 
counties: 

( 1 ) Da\ idson. 

Durham. 



i2i 

iii 
£41 
15} 
16] 

ill 
18) 

19] 



Forsyth. 

Gaston. 

Guilford. 

Mecklenburg. 

Wake. 



Dutchville Township in Granville 
Count\-. and 

that part of Davie County bounded by 
the Yadkin Ri\er. Dutchmans Creek. 
North Carolina Highway 801 . Fulton 
Creek and back to Yadkin River. 
(bi Rules .0925. .0926. .0927. .0928. .0932. 



and .0933 of this Section apply, in accordance 
with Rule .0946 of this Section, to all sources of 
volatile organic compounds located m areas not 
named in Paragraph (a) of this Rule. 
^hj icj This Section does not apply to: 
{!) sources whose emissions of volatile 
organic compounds are not more than 
15 pounds per day (This Subparagraph 
does not apply to the manufacture and 
use of cutback asphalt.); 

i^ sources at a facility where the total of 

potential emissions of volatile organic 
compounds from all stationan,' sources 
at the facility is less than 100 tons per 

yeaf (This — Subparagraph — dees — net 

apply to the manufacture and u s e of 
cutback — asphalt — ©f — te — Rules — .0925. 
.0926. .0927. .0928. .0932. and .0933 
of thi s Section. I; 

f^-) facilitie s located in an area vxhich i s not 

designated b\ the L .S. Environmental 

Protection /V g c n c _\ te be a 

nonattainment area for photochemical 
oxidants or ozone as of April 30. 1979 
(Thi s — Subparagraph — does — net — apply 
Rules .0925. .0926. .0927. .092 8 . 
.0932. and .0933 of this Section.); 

f4-) to the manufacture and use of cutback 

asphalt s in an area which i s not desig 
nated by the U.S. En\ ironmental Pro 
teetion Agency to be a nonattainment 
area — fer — photochemica l — oxidants — ef 
ozone as of April 30. 1979; 
iSj £2] sources used exclusively for chemi- 
cal or physical analysis or determina- 
tion of product quality and commercial 
acceptance provided: 
(A) The operation of the source is not an 



integral part of the production pro- 
cess; and 

(B) The emissions from the source do not 
exceed 800 pounds per calendar 
month; and 

(C) The exemption is approved in writing 
by the director; or 

i€) emissions — of volatile — organic — com 

pounds which arc subject to limitation 
under Regulations .052 4 or .0525 of 
this Subchapter; or 
•f?^ Qj emissions of volatile organic com- 
pounds during startup or shutdown 
operations from sources which use 
incineration or other types of combus- 
tion to control emissions of volatile 
organic compounds whenever the 
off-gas contains an explosive mixture 
during the startup or shutdown opera- 
tion if the exemption is approved by the 
Director. 
fe^ id] Sources whose emissions of \olatile 
organic compounds are not subject to limitation 
under this Section may still be subject to emission 
limits on volatile organic compounds in Regulation 
.0518. Rule .0524. or .0525 of this Subchapter. 



Slalutc>ry Amhority 
143-215. 107(a)(5). 



G.S. 143-215. 3(aj(lj; 



.0903 RECORDKEEPING: REPORTEVG: 
MONITORING 

(a) This Regulation Rule applies to sources 
subject to Regulation s Rules in this Section. 

(b) The owner or operator of any volatile organ- 
ic compound emission source or control equipment 
shall maintain: 



(1) 
(2) 

(3) 

(4) 

(5) 



records detailing all activities relating to 
any compliance schedule in this Sec- 
tion; 

records detailing all malfunctions under 
Regulation Rule .0535 of this Subchap- 
ter; 

records of all testing conducted under 
Regulations Rules in this Section; 
records of all monitoring conducted 
under Paragraph (d) of this Regulation 
Rule; and 



records necessary to determine compli- 
ance as required by Paragraph (d) of 
this Regulation Rule , 
(c) When requested by the Director director , the 
owner or operator of any volatile organic com- 
pound emission source or control equipment shall 
submit reports detailing the following: 



1495 



7:15 



XORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



(1) General information. 

(A) Type of source and process descrip- 
tion. 

(B) Schedule of operation. 

(C) Quantity of volatile organic com- 
pounds emitted per day from each 
source. 

(D) Quantity and type of wash and 
clean-up solvents used each day for 
each source. 

(2) Coating line information. 

(A) Method of application. 

(B) Drying method used and minimum 
temperature. 

(C) Substrate type. 

(D) Substrate form. 

(E) Type of coatings applied, number of 
each coating type applied, and quanti- 
ty of each type of coating applied per 
day. 

(F) Percent by weight of volatile organic 
compounds content of each coating 
applied. 

(G) Percent by volume of solids content 
of each coating applied. 

(H) Method used to determine volume 
percent solids content of coatings. 

(I) Type and quantity of diluents added to 
each coating and percent by weight of 
volatile organic content of each dilu- 
ent. 

(3) Control equipment. 

(A) Thermal incinerator: 

(i) Combustion temperature, 
(ii) Residence time. 

(B) Catalytic incinerator: 

(i) Exhaust gas temperature. 

(ii) Change in temperature across 

catalyst bed. 
(iii) Residence time. 
(iv) Date of last change of catalyst 

bed. 
(v) Date of last catalyst test and 

results of test. 

(C) Condenser: 

(i) Inlet temperature of cooling medi- 
um. 

(ii) Outlet temperature of cooling 
medium. 

(D) Emission test results: 

(i) Inlet volatile organic compound 

concentration. 
(ii) Outlet volatile organic compound 

concentration, 
(iii) Explanation of how inlet and 



outlet concentrations have been 
determined, 
(iv) Date when these concentrations 
were last determined. 
(E) Capture system: 

(i) Type of capture system, 
(ii) Efficiency of capture system, 
(iii) Explanation of how capture effi- 
ciency has been determined. 
The owner or operator of the source shall also 
provide any other pertinent information to the 
director when requested. 

(d) The owner or operator of any volatile organ- 
ic compound emission source or control equipment 
shall: 

(1) install, operate, and maintain process 
and/or and control equipment monitor- 
ing instruments or procedures as neces- 
sary to comply with Paragraph Para- 
graphs (b) and (c) of this Regulation 
Rule; and 

(2) maintain, in writing, data and/or and 
reports relating to monitoring instru- 
ments or procedures which will, upon 
review, document the compliance status 
of the volatile organic compound emis- 
sion source or control equipment to the 
satisfaction of the Director; such data 
and reports shall, as a minimum, be 
maintained daily. 

(e) Copies of all records and reports under 
Paragraphs (b), (c), and (d) of this Regulation Rule 
shall be retained by the owner or operator for a 
minimum of two years after the date on which the 
record was made or the report submitted. Howev- 
er, the Director may extend the retention period in 
particular instances. 

(f) Copies of all records and reports under this 
Section shall be made available within a reasonable 
time to the Director upon written request. 



Statutory Authority 
143-215. 107(a)(5). 



G.S. 143-215. 3(a)(1); 



.0907 COMPLIANCE SCHEDULES FOR 
SOURCES IN NONATTAESfMENT 
AREAS 

(a) — With the exception stated in Regulation 
.0910 or .0911 of this Section, the owner or 
operator of an existing (as of June 30. — 1979) 
volatile — organic compound emission source pro 
po s ing — te — install — aad — operate — volatile — organic 
compound — emission — control — equipment — and/or 
replace process equipment to comply with Regula 
tions .0917 through .0931 of this Section s hall 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1496 



PROPOSED RULES 



achieve — Final complinnee. — determined — in aeoor 
dance with Regulations .0912 through .0016 and 
.0939 through .09 4 2 of this Section, before Augu s t 
1, 1981. 



fte^ — With the exception stated in Regulation s 



.0910 



tO»W 



of this Section, the owner or 



operator of an existing (as of June 30. — 1980) 
volatile organic compound emi ss ion s ource propos 
ing to install and operate volatile organic com 
pound — emission — control — equipment — and/or — t© 
replace process equipment to comp l y with Regula 
tions .0932 through .0938 of this Section shall 
achieve final compliance, determined in aeeor 
dance v\ith Regulations .0912 through .0916 and 
.0939 through .09 4 2 of this Section, before August 



498; 



fe^ With the exception stated in Regulation 

.0910 of this Section, the owner or operator of a 
ftev.^ — volatile — organic — compound — s ource — not — rn 
existence as of June 30. 1979. or June 30. 1980, 
s hall comply with Regulations .0917 through .0931 
or Regulation s .0932 through .0938. respectively, 
of this Section upon source start up. 

(a) With the exceptions in Paragraph (b) of this 
Rule, this Rule applies to alj sources covered by 
Paragraph (a) of Rule .0902 of this Section. 

(b) This Rule does not apply to: 

( I ) sources in Mecklenburg County to 
which Rules .0917 through .0938 apply 
and which are located at a facility 
where the total potential emissions of 
volatile organic compounds from ail 
stationary sources at the facility is 100 
tons per year or more, or 
sources covered under Rule .0946 of 



ill 



this Section. 



(c) The owner or operator of any source subject 
to this Rule who proposes to comply with a rule in 
this Section by installing emission control equip- 
ment, replacing process equipment, or modifying 
existing process equipment, shall adhere to the 
following increments of progress and schedules: 
( 1 ) A permit application and a compliance 
schedule shall be submitted before 



August 1. 1993: 



12] 



iAi 



iBj 



The compliance schedule shall contain 
the following increments of progress: 
a date by which contracts for the 
emission control system and process 
equipment shall be awarded or orders 
shall be issued for purchase of com- 
ponent parts; 

a date by which on-site construction 
or installation of the emission control 
and process equipment shall begin: 



and 
(C) a date by which on-site construction 
or installation of the emission control 
and process equipment shall be com- 
pleted. 
(3) Final compliance shall be achieved by: 

(A) December 1, 1994, where compliance 
is achieved by installing control 
equipment or replacing process equip- 
ment, or 

(B) August J_, 1994, where compliance is 
achieved by modifying existing pro- 
cess equipment. 

The owner or operator shall certify to the Director 
within five days after the deadline, for each incre- 
ment of progress, whether the required increment 
of progress has been met. 

(d) The owner or operator of any source subject 
to this Rule who proposes to comply with a rule in 
this Section by using low solvent content coating 
technology shall adhere to the following incre- 
ments of progress and schedules: 

(1 ) The permit application and a compli- 
ance schedule shall be submitted before 



August 1, 1993. 



Ql 



iA] 



13] 



IB] 
iC] 

£D] 

iEi 

iA] 



The compliance schedule shall contain 
the following increments of progress: 
a date by which research and develop- 
ment of low solvent content coating 
shall be completed if the Director 
determines that low solvent content 
coating technology has not been suffi- 
ciently researched and developed; 
a date by which evaluation of product 
quality and commercial acceptance 
shall be completed; 
a date by which purchase orders shall 
be issued for low solvent content 
coatings and process modifications; 
a date by which process modifications 
shall be initiated; and 
a date by which process modifications 
shall be completed and use of low 
solvent content coatings shall begin. 
Final compliance shall be achieved by: 
July L, 1995, where compliance is 
achieved by using low solvent content 
coating where the Director determines 
that low solvent content coating tech- 



IB] 



nology has not been sufficiently re- 
searched and developed; or 
January f^ 1995. where compliance is 
achieved by using low solvent content 
coating where the Director determines 
that low solvent content coating tech- 



1497 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



nology has been sufficiently re- 
searched and developed. 
The owner or operator shall certify to the Director 
within five days after the deadline, for each incre- 
ment of progress, whether the required increment 
of progress has been met. 

(e) The owner or operator of sources subject to 
this Rule shall, if the Director requires a test to 
demonstrate that compliance has been achieved, 
conducted a test and submit a final test report 
within six months after the stated date of final 
compliance. 

(f) With such exception as the Director may 
allow, the owner or operator of any source subject 
to this Rule shall continue to comply with 15A 
NCAC 2D .0518 until such time as the source 
complies with applicable rules in this Section or 
until the final compliance date set forth in this 
Rule, whichever comes first. The Director may 
allow the following exceptions: 

(1 ) testing coating materials; 

(2) making or testing equipment or process 
modifications; or 

(3) adding or testing control devices. 

(g) The owner or operator of any new source of 
volatile organic compounds not m existence or 
under construction a^ of January 30. 1993. shall 
comply with all applicable rules in this Section 
upon start-up of the source. 

Statutory Authority G.S. 143-215. 3(a}(l ); 
143-215.68: 143-215. 107(a)(5). 

.0910 ALTERNATIVE COMPLIANCE 
SCHEDULES 

(a) If the Director finds that the application of a 
compliance schedule in Regulations .0907 through 
t0909 Rule .0907 of this Section would be techno- 
logically or economically infeasible for a source, 
he may promulgate a different schedule for that 
source. 

(b) The owner or operator of a volatile organic 
compound source affected by Regulations .0917 
through .0931 of a rule in this Section may submit 
to the Director a proposed alternative compliance 
schedule if: 

( 1 ) The proposed alternative compliance 
schedule is submitted before January 1, 
+980 August L 1993 ; and 

(2) The final control plans for achieving 
compliance are submitted simultaneous- 
ly; ftftd 

(3) The alternative compliance schedule 
contains the same increments of prog- 
ress as the schedule for which it is 



proposed as an alternative; and 
(4) Sufficient documentation and certifica- 
tion from appropriate suppliers, con- 
tractors, manufacturers, or fabricators 
are submitted to justify the dates pro- 
posed for the increments of progress. 

(c) The owner or operator of a volatile organic 
compound source affected by a rule in this Section 
may submit to the Director an alternative compli- 
ance schedule for the phase-out or shut-down of a 
volatile organic compound source, if: 

(1) The proposed alternative compliance 
schedule is submitted before August \^ 
1993; and 

(2) The final control plans for achieving 
compliance with rules of this Section 
are submitted simultaneously. 

(d) All alternative compliance schedules pro- 
posed or promulgated under this Rule shall provide 
for compliance with the a pplicable rules as expedi- 
tiously as practicable but not later than August l^ 
1995. 

fe) (e) Any schedule approved under this Rcgu 
lotion Rule may be revoked at any time if the 
source does not meet the increment of progress 
stipulated. 

(d) (f) When an alternate compliance schedule is 
promulgated under this Regulation Rule , the 
permit shall contain a condition stating the compli- 
ance schedule. 

Statutory Authority G.S. 143-215. 3(a)(1); 
143-215. 107(a)(5). 

. 09 1 1 EXCEPTION FROM 

COMPLIANCE SCHEDULES 

Regulations Rule .0907 through .0910 of this 
Section will not apply to sources which that are in 
compliance with applicable Rules Regulations 
.0917 through .0931 of this Section before July 1, 
1979 February \^ 1993, and that have determined 
and certified compliance to the satisfaction of the 
Director before October I, 1979, May i, 1993. 
or in compliance with Regulation .0932 — through 
.0938 of this Section before July 1, 1980 and have 
determined and certified compliance to the aatisfac 
tion of the Director before October I, 1980. 

Statutory Authority G.S. 143-215. 3(a)(1); 
143-215. 68; 143-215. 107(a)(5). 

.0912 GENERAL PROVISIONS ON TEST 
METHODS AND PROCEDURES 

(a) The owner or operator of any volatile organ- 
ic compound source required to comply with 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1498 



PROPOSED RULES 



regulations rules in this Section shall, at his own 
expense, demonstrate compliance by the methods 
described in Regulations Rules .0912 through 
.0916 and .0939 through .0942 of this Section. 
The owner or operator of a volatile organic com- 
pound source shall demonstrate compliance when 
the Director requests such demonstration. The 
Director shall explain to the owner or operator the 
basis for requesting a demonstration of compliance 
and shall allow reasonable time for testing to be 
performed. All tests shall be made by, or under 
the direction of, a person qualified by training or 
experience in the field of air pollution testing. 

(b) Volatile organic compound emissions com- 
pliance testing shall be allowed and the results 
shall be accepted, only if the Director has been 
notified as required by Paragraph (c) of this 
Regulation Rule and if the Director has granted 
approval. 

(c) Any person proposing to conduct a volatile 
organic compound emissions test shall notify the 
Director at least 21 days before beginning the test 
so that the Director may at his option observe the 
test. Any person notifying the Director of a 
proposed volatile organic compound emissions test 
shall include as part of notification the following 
minimum information: 

(1) a statement indicating the purpose of 
the proposed test; an^ 

(2) a detailed description of the facility to 
be tested; and 

(3) a detailed description of the test proce- 
dures, equipment, and sampling sites; 
and 

(4) a timetable, setting forth the dates on 
which: 

(A) The testing will be conducted; and 

(B) Preliminary test results will be report- 
ed (not later than 30 days after sample 
collection); and 

(C) The final test report will be submitted 
(not later than 60 days after comple- 
tion of on-site sampling). 

(d) If the volatile organic compound emissions 
test shows noncompliance, the owner or operator 
of the volatile organic source shall submit along 
with the final test report proposed corrective 
action. 

(e) For compliance determination, the owner or 
operator of any volatile organic compound emis- 
sions source shall be responsible for providing: 

( 1 ) sampling ports, pipes, lines, or appurte- 
nances for the collection of samples and 
data required by the test procedure; aftd 

(2) safe access to the sample and data 



collection locations; and 
(3) light, electricity, and other utilities 
required for sample and data collection. 

(f) Compliance shall be determined on a 
line-by-line basis using the more stringent of the 
following two: 

(1) Compliance shall be determined on a 
daily basis for each coating line using a 
weighted average, that is, dividing the 
sum of the mass (pounds) of volatile 
organic compounds in coatings con- 
sumed on that coating line, as received, 
and the mass (pounds) of volatile organ- 
ic compound solvents added to the 
coatings on that coating line by the 
volume (gallons) of coating solids 
consumed during that day on that coat- 
ing line; or 

(2) Compliance shall be determined as 
follows: 

(A) When low solvent or high solids 
coalings are used to reduce emissions 
of volatile organic compounds, com- 
pliance shall be determined instanta- 
neously. 

(B) When add on control devices, e.g., 
solvent recovery systems or incinera- 
tors, are used to reduce emissions of 
volatile organic compounds, compli- 
ance shall be determined by averaging 
emissions over a one-hour period. 

(g) The Director director may authorize the 
Division of Environmental Management to conduct 
independent tests of any source subject to a regula 
tt&fi rule in this Section to determine the compli- 
ance status of that source or to verify any test data 
submitted about that source. Any test conducted 
by the Division of Environmental Management 
using the appropriate testing procedures described 
in this Section shall have precedence over all other 
tests. The United States Environmental Protection 
Agency (EPA) may verify any test submitted by 
the owner or operator of a source, and any test 
conducted by EPA using the appropriate testing 
procedures described in this Section shall have 
precedence over tests conducted by the owner or 
operator of the source. 

Statutory Authority G.S. 143-215. 3(a)(1): 
143-215. 107(a)(5). 

.0936 GRAPHIC ARTS 

(a) For the purpose of this Regulation Rule , the 
following definitions apply: 

(1) "Flexographic printing" means the 



1499 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



application of words, designs and pic- 
tures to a substrate by means of a roll 
printing technique in which both the 
pattern to be applied is raised above the 
printing roll and the image carrier is 
made of rubber or other elastometric 
materials. 

(2) "Packaging rotogravure printing" means 
printing with a gravure press upon 
paper, paper board, metal foil, plastic 
film, and other substrates, which are, in 
subsequent operation, formed into 
containers and labels for articles to be 
sold. 

(3) "Printing" means the formation of 
words, designs and pictures, usually by 
a series of application rolls each with 
only partial coverage. 

(4) "Publication rotogravure printing" 
means printing upon paper which is 
subsequently formed into books, maga- 
zines, catalogues, brochures, directo- 
ries, newspaper supplements, and other 
types of printed materials. 

(5) "Roll printing" means the application of 
words, designs and pictures to a sub- 
strate by means of hard rubber or steel 
rolls. 

(b) This Regulation Rule applies to: 

(1) flexographic printing, packaging roto- 
gravure printing and publication roto- 
gravure printing operations; and 

(2) machines that have both coating units 
and printing units. 

(c) This Rule does not apply to facilities where 
the potential emissions of volatile organic com- 
pounds is less than 100 tons per year. 

(d) fe) Emissions of volatile organic compounds 
from any printing press tmit or drying oven of a 
printing operation subject to this R e gulation Rule 
shall not be discharged into the atmosphere unless: 

( I ) The captured volatile organic compound 
emissions are reduced by at least 90 
percent by an incineration system or 95 
percent by a carbon adsorption system 
or any other control system; and: 

(A) For packaging rotogravure printing 
operations, at least 65 percent overall 
reduction of the volatile organic com- 
pound emissions is achieved; 

(B) For publication rotogravure printing 
operations at least 75 percent overall 
reduction of the volatile organic com- 
pound emissions is achieved; and 

(C) For flexographic printing operations. 



at least 60 percent overall reduction 
of the volatile organic compound 
emissions is achieved; 

(2) The solvent portion of the ink, as it is 
applied on the substrate, consists of at 
least 75 percent water by volume and 
no more than 25 percent organic sol- 
vent by volume; 

(3) The ink contains by volume at least 60 
percent nonvolatile material; 

(4) The printing system uses a combination 
of solvent-borne and water-borne ink 
such that at least a 70 percent by vol- 
ume overall reduction in solvent usage 
is achieved when compared to all 
solvent-borne ink usage, or 

(5) The ink, including any solvents that 
may be added to it, contains no more 
than 0.5 pounds of volatile organic 
compounds per pound of solids in the 
ink; only flexographic printing and 
packaging rotogravure printing may use 
this option. 

(e) i4j When a facility complies with this Rcgu 
lation Rule using the provision of Subparagraph {ej 
(d) (4) of this Regulation Rule, the permit shall 
contain a condition stating the maximum quantity 
of solvent-borne ink that each printing unit may 
use or that the facility as a whole may use. 

(f) Equivalency calculations for emissions 
trading, cross-line averaging, or determining 
compliance with add-on control equipment shall be 
performed in units of pounds of volatile organic 
compounds per gallon of solids. 



Statutory Authority G.S. 
143-215. 107(a)(5). 



143-215. 3(a)(1); 



.0947 MAIVUFACTURE OF SYNTHESIZED 
PHARMACEUTICAL PRODUCTS 

(a) For the purposes of this Rule, the following 
definitions apply: 

(1) "Production equipment exhaust system" 
means a device for collecting and di- 
recting out of the work area fugitive 
emissions of volatile organic com- 
pounds from reactor openings, centri- 
fuge openings, and other vessel open- 
ings for the purpose of protecting work- 
ers from excessive exposure to volatile 
organic compounds. 

(2) "Synthesized pharmaceutical manufac- 
turing" means manufacture of pharma- 
ceutical products by chemical synthesis. 

(b) This Rule applies to synthesized pharmaceu- 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1500 



PROPOSED RULES 



lical products manufacturing facilities. 

(c) The owner or operator of a synthesized 
pharmaceutical products manufacturing facility 
shall control the emissions of volatile organic 
compounds from: 

( 1 ) reactors. distillation operations. 
cr\'stallizers. centrifuges, and vacuum 
dr\'ers that have the potential to emit 15 
pounds per day or more of volatile 
organic compounds with surface con- 
densers that meet the requirements of 
Paragraph (el of this Rule or equivalent 
controls: 

(2) air dr\'ers and production equipment 
exhaust system by reducing emissions 
of volatile organic compounds: 

(A) by 90 percent |f they are 330 pounds 
per day or more; or 

(B) to 33 pounds per day if they are less 
than 330 pounds per day: 

(3) storage tanks by: 

(A) providing a \apor balance system or 
equivalent control that is at least 90 
percent effective i_n reducing emis- 
sions from truck or railcar deliveries 
to storage tanks with capacities great - 
er than 2.000 gallons that store vola- 
tile organic compounds with a vapor 
pressure greater than 4. 1 pounds per 
square inch at 68' F: and 

(B) installing pressure/vacuum conserva- 
tion xents. which shall be set +. 0^ 
inches of water unless a more effec- 



tive control system [s used, on all 
storage tanks that store volatile organ- 



ic compounds with a vapor pressure 
greater than 1 .5 pounds per square 
inch at 68 "F: 

(4) centrifuges containing volatile organic 
compounds, rotary vacuum filters pro- 
cessing liquid containing volatile organ- 
ic compounds, and other filters having 
an exposed liquid surface where the 
liquid contains volatile organic com- 
pounds by enclosing those centrifuges 
and filters that contain or process vola- 
tile organic compounds u'ith a vapor 
pressure of (h5 pounds per square inch 
or more at 68°F; and 

(5) in-process tanks by installing covers, 
which shall remain closed except when 
production, sampling, maintenance, or 
inspection procedures require operator 
access: 

(d) The owner or operator of a synthesized 



pharmaceutical products manufacturing facility 
shall repair as expeditiously as possible all leaks 
from which liquid volatile organic compounds can 
be seen running or dripping. 

(e) If surface condensers are used to comply 
with Subparagraph (c)(1) of this Rule: the con- 
denser outlet temperature shall not exceed: 

(1) - 1 3 °F when condensing volatile organic 

compounds of vapor pressure greater 

than 5.8 psi: 

5"F when condensing volatile organic 



m 



m 



141 



£5} 



compounds of vapor pressure greater 

than 2.9 psi: 

32 "F when condensing volatile organic 

compounds of vapor pressure greater 

than 1 .5 psi: 

50 "F when condensing volatile organic 

compounds of vapor pressure greater 

than 1 .0 psi: or 

77 °F when condensing volatile organic 

compounds of vapor pressure greater 

than 0.5 psi. 



Statutory Authorit}- G.S. 143-215. 3(a)(I ); 
143-215. 107(a)(5). 

.0948 VOC ENnSSIONS FROM TRANSFER 
OPERATIONS 

(a) This Rule applies to operations that transfer 
volatile organic compounds from a storage tank to 
tank-trucks, trailers, or railroad tank car that are 
not covered by Rule .0926. .0927. or .0928 of this 
Section. 

(b) The owner or operator of a source to which 
this Rule applies shall not load in any one day 
more than 20.000 gallons of any volatile organic 
compound with a vapor pressure of 1 .5 pounds per 
square inch or greater under actual conditions into 
any tank-truck, trailer, or railroad tank car from 
any loading facility unless the loading uses sub- 



merged loading through boom loaders that extend 
down into the compartment being loaded or by 
other methods approved by the Director. 



Siaiuton, Authority 
143-215. 107(a)(5). 



G.S. 143-215. 3(a)(1); 



.0949 STORAGE OF \nSCELLANEOUS 

VOLATILE ORGANIC COMPOL'NDS 

(a) TTiis Rule applies to the storage of volatile 
organic compounds in stationary' tanks, reservoirs. 
or other containers with a capacity greater than 
50.000 gallons that are not covered by Rule .0925 
or .0933. 

(b) The owner or operator of any source to 



1501 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



which this Rule applies shall not place, store, or 
hold in any stationary tank, reservoir, or other 
container with a capacity greater than 50.000 
gallons, any liquid volatile organic compound that 
has a vapor pressure of 1 .5 pounds per square inch 
absolute or greater under actual storage conditions 
unless such tank, reservoir, or other container: 

(1 ) is a pressure tank capable of maintain- 
ing working pressures sufficient at all 
times to prevent vapor gas loss into the 
atmosphere; or 

(2) is designed and equipped with one of 
the following vapor loss control devic- 
es: 

(A) a floating pontoon, double deck type 
floating roof or internal pan type 
floating roof equipped with closure 
seals to enclose any space between the 
cover's edge and compartment wall; 
this control equipment shall not be 
permitted for volatile organic com- 
pounds with a vapor pressure of 1 1 .0 
pounds per square inch absolute or 
greater under actual storage condi- 
tions; all tank gauging or sampling 
devices shall be gas-tight except when 
tank gauging or sampling js taking 
place; 

(B) a vapor recovery system or other 
equipment or means of air pollution 
control as approved by the Director 
which reduces the emission of organic 
materials into the atmosphere by at 
least 90 percent by weight; all tank 
gauging or sampling devices shall be 
gas-tight except when tank gauging or 
sampling is taking place. 



Statutory Authority G.S. 
143-215. 107(a)(5). 



143-215. 3(a)(1); 



.0950 INTERIM STANDARDS FOR 

CERTAIN SOURCE CATEGORIES 

(a) This Rule applies to the following types of 
sources: 

tobacco processing, 
textile dyeing. 
textile coating. 



lii 
12] 

i3i 
141 
(5) 
16) 

Ql 

18) 
19) 



bakeries. 

Christmas ornament manufacturing. 



wastewater treatment operations at beer 

brewers, 

fiberglass yacht manufacturing, 

soybean processing, 

paint and coating manufacturing . 



(10) synthetic organic chemical manufactur- 
ing industry distillation and reactors, 

(1 1) synthetic organic chemical manufactur- 
ing industry batch operations, 

(12) petroleum and industrial wastewater 
treatment plants, 

(13) wood furniture finishing, 

(14) plastic parts coating operations. 

(15) web offset lithography. 

(16) autobody refmishing. 

(17) industrial cleanup solvents. 

(18) aerospace, and 

(19) marine coatings. 

(b) The owner or operator of a source to which 
this Rule applies shall not emit volatile organic 
compounds into the atmosphere in any one day 
from all sources at the plant site at which the 
source is located more than a total of 40 pounds of 
photochemically reactive solvent from any article, 
machine, equipment or other contrivance used for 
employing, applying, evaporating or drying any 
photochemically reactive solvent or substance 
containing such solvent unless the discharge has 
been reduced by at least 85 percent by weight. 
Photochemically reactive solvents include any 
solvent with an aggregate of more than 20 percent 
of its total volume composed of the chemical 
compounds classified in this Paragraph, or which 
exceed any of the following percentage composi- 
tion limitations, referred to the total volume of the 
solvent: 

(1) a combination of hydrocarbons, alco- 
hols, aldehydes, esters, ethers, or 
ketones having an olefinic or 
cyclo-olefinic type of unsaturation 
except perchloroethylene--five percent; 

(2) a combination of aromatic hydrocarbons 
with eight or more carbon atoms to the 
molecule except ethylbenzene— eight 
percent; 

(3) a combination of ethylbenzene. ketones 
having branched hydrocarbon structure, 
trichloroethylene. or toluene--20 per- 
cent. 

Whenever any photochemically reactive solvent, or 
any constituent of any photochemically reactive 
may be classified from its chemical structure into 
more than one of the groups in this Paragraph of 
chemical compounds, it shall be considered as a 
member of the most reactive chemical compound 
group, that is. that group having the least allow- 
able percent of the total volume of solvents. 



Statutory- Autborit\' 
143-215. 107(a)(5). 



G.S. 143-215. 3(a)(1): 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1502 



PROPOSED RULES 



.0951 MISCELLANEOUS VOLATILE 
ORGANIC COMPOLTsD 
E^USSIONS 

(a) This Rule applies to aU facilities that use 
volatile organic compounds as solvents, carriers, 
material processing media, or industrial chemical 
reactants. or in other similar uses or that mix, 
blend, or manufacture volatile organic compounds 
for which there js no other applicable rule in this 
■Section. 

(b) This Rule does not apply to architectural or 
maintenance coating. 

(c) Facilities with potential emissions of volatile 
organic compounds less than 100 tons per year 
shall comply with 15A NCAC ^D .0518. 

(d) With the exception of Paragraph (b) of this 
Rule, the owner or operator of any facility with 
the potential to emit 100 tons per Near or more of 
\olatile organic compounds shall: 

( 1 ) install and operate control equipment 
which meets the requirements of best 
a\'ailable control technology as defined 
m and determined by procedures of 
Rule 0.5.^0 ot~ this Section (A new best 
a\ailable control technology determina- 
tion and procedure need not be per- 
formed if in the judgement of the Di- 
rector a pre\'ious best available control 
technology determination [s applica- 
ble.): 

(2) limit emissions of volatile organic 
compounds from coating lines not 
covered b\' R_ules .0917 through .0924. 

or 



.09.^4. 



.09,^5 to no more than 6.7 



13] 



pounds per gallon of solids delivered to 
the coating applicator: or 
reduce the emissions of volatile organic 
compounds from all sources at the plant 
site that are not covered by Subpara- 
graphs (d)( 1 ) or i2j of this Paragraph or 
another rule in this Section by at least 
85 percent by weight or dov\n to 40 
pounds per day by destruction or by 
capture of \'olatile organic compounds 
in the emission stream . (Calculation of 
capture efficiency shall be adjusted to 
reflect eventual emission to the atmo- 
sphere as volatile organic compounds 
except for material reused, burned, or 
reprocessed for reuse.) 



Snnurory Amhorin G.S. 143-215. 3(a){l ); 
143-215. 107(a)i5j. 

.0952 PETITION FOR .\LTERN.\TIVE 



CONTROLS 

(a) With the exceptions in Paragraph (b) of this 
Rule, this Rule applies to all sources covered by 
Paragraph (a) of Rule .0902 of this Section: 

(b) This Rule does not apply to: 

(1) sources in .Mecklenburg County to 
which Rules .0917 through .0938 of 
this Section apply and which are located 
at a facility where the total potential 
emissions of volatile organic com- 
pounds from all stationary sources at 
the facility is 100 tons per year or 
more; or 

(2) sources covered under Rule .0946 of 
this Section. 

(c) If the owner or operator of any source of 
volatile organic compounds can demonstrate that 
compliance with rules in this Section would be 
technologicalh' or economically infeasible. he may 
petition the Director to allow the use of alternative 
operational or equipment controls for the reduction 
of volatile organic compound emissions. Petition 
shall be made for each source to tlie Director 
before August h 1993. The petition can be made 
only for sources i_n existence or under construction 
on January 30. 1993. 

(d) The petition shall contain: 

( 1 ) the name and address of the company 
and the name and telephone number of 
a company officer over whose signature 
the petition is submitted: 

(2) a description of aU operations conduct- 
ed at the location to which the petition 
applies and the purpose that the volatile 
organic compound emitting equipment 
serves within the operations: 

(3) reference to the specific operational and 
equipment controls under the rules of 
this Section for which alternative opera- 
tional or equipment controls are pro- 
posed: 

(4) a detailed description of the proposed 
alternative operational or equipment 
controls, the magnitude of volatile 
organic compound emission reduction 
which will be achieved, and the quanti- 
ty and composition of volatile organic 
compounds v\hich will be emitted if the 
alternative operational or equipment 
controls are instituted: 
a plan, which will be instituted in addi- 
tion to the proposed alternative opera- 
tional or equipment controls, to reduce, 
where technologically and economically 
feasible, volatile organic compound 



15) 



1503 



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November 2, 1992 



PROPOSED RULES 



emissions from other source operations 
at the facility, further than that required 
under the rules of this Section, if these 
sources exist at the facility, such that 
aggregate volatile organic compound 
emissions from the facility will in no 
case be greater through application of 
the alternative control than would be 
allowed through conformance with the 
rules of this Section; 

(6) a schedule for the installation or institu- 
tion of the alternative operational or 
equipment controls in conformance with 
Rule .0907 or .0909 of this Section, as 
applicable; and 

(7) certification that emissions of al] other 
air contaminants from the subject 
source are in compliance with all appli- 
cable local, state and federal laws and 
regulations. 

The petition may include a copy of the permit 
application and need not duplicate information m 
the permit application. 

(e) The Director shall approve a petition for 
alternative control if: 

(1 ) The petition js submitted in accordance 
with Paragraph (d) of this Rule; 

(2) The Director determines that the peti- 
tioner cannot comply with the loiles m 
question because of technological or 
economical infeasibility; 

(3) All other air contaminant emissions 
from the facility are in compliance 
with, or under a schedule for compli- 
ance as expeditiously as practicable 
with, all applicable local, state, and 
federal regulations; 

(4) The petition contains a schedule for 
achie\'ing and maintaining reduction of 
volatile organic compound emissions to 
the maximum extent feasible and as 
expeditiously as practicable; and 

(5) A nuisance condition will not result 
from operation of the source as pro- 
posed in the petition. 

(f) When controls different from those specified 
in the appropriate emission standards in this 
Section are approved by the Director, the permit 
shall contain a condition stating such controls. 

Statutorx Authority G.S. 143-215. 3(a)(l ); 
143-215.68: 143-215. 107(a)(5). 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1504 



PROPOSED RULES 



SECTION .1000 - MOTOR VEHICLE EMISSION CONTROL STANDARDS 



.1004 EMISSION STANDARDS 

(a) The following standards specify the maximum carbon monoxide (CO) and hydrocarbon (HC) 
concentrations permitted to be exhausted from motor vehicles subject to these Regulations Rules: 



Vehicle Class 
Light-dutv Vehicle 



Heavy-duty Vehicle 



Model Year 

1975-1977 

1978-1979 

1980 

1981 and later 

1975-1978 
1979 and later 









CO Standard 


HC Standard 


At Idl 


'{%) 


At Idle(PPM) 


4.5 




450 


3.5 




350 


2.0 




250 


1.2 




220 


5.0 




500 


4.0 




400 


l'3\ /-*f tV» 


Ir P.^milnt 


nn Piil.^ ,^tVi.^r fho 



(b) Exceptions or variances to the standards in Paragraph (a) of this Regulation. Rule, other than those 
specified in Regulation Rule .1002 of this Section, are permitted only in accordance with the provisions of 
the Emissions Test Procedures Section of the "Safety, Emissions, Windshield Procedures Manual" as set forth 
by the North Carolina Division of Motor Vehicles. The documents adopted document incorporated by 
reference in this Sect i on Rule shall automatically include any later amendments or editions thereto a s allowed 
by G.S. I50B 1 4 (o) . This document can be inspected at or obtained from the Division of Motor Vehicles. 
I 100 New Bern Avenue. Raleigh. North Carolina 27697 at no cost. 



Srarurory- Authority G.S. 20-} 28. 2(a); 143-215. 3{a){l); 143-215. 107(a)(3); 143-215. 107(a)(6); 
143-215. 107(a)(7); 1508-21. 6. 



SL1BCHAPTER 2H - PROCEDURES FOR 
PERMITS: APPROVALS 

SECTION .0600 - AIR QUALIT\' 
PERMITS 

.0603 APPLICATIONS 

(a) Permit application applications shall be made 
in duplicate on official forms of the Director and 
shall include plans and specifications giving all 
necessary data and information as required by the 
application form. These application focflis shall be 
used: air contaminant sources--Form AQ-22, and 
complex sources— Form AQ-81 . These forms may 
be obtained by writing to the address in Paragraph 
(b) of this Rule. Whenever the information pro- 
vided on these forms does not adequately describe 
the source and its air pollution abatement equip- 
ment, the Director may request that the applicant 
provide any other information that the Director 
considers necessary to evaluate the source and its 
air pollution abatement equipment. 

(b) A permit or permit renewal application shall 
be filed in writing with the Director. Division of 
Environmental Management, Department of 
Natural Resources and Community Development, 



P.O. Box 27687. Raleigh, N.C. 27611. Applica- 
tion for permit renewal or ownership transfer may 
be by letter to the Director, if no alteration or 
modification has been made to the originally 
permitted source. A non-refundable permit appli- 
cation processing fee shall accompany each appli- 
cation. The permit application processing fee rates 
fees are in Regulation Rule .0609 of this Section. 
Each permit or renewal application is incomplete 
until the permit application processing fee is 
received. 

(c) Before acting on any permit application, the 
Director may request any information from an 
applicant and conduct any inquiry or investigation 
that he considers necessary and require the submis- 
sion of plans and specifications. 

(d) Before issuing any permit for: 

(1) a source to which Rate 15A NCAC 2D 
.0530 or .0531 applies, 

(2) a source whose emission limitation is 
based on a good engineering practice 
stack height that exceeds the height 
defined in 15A NCAC 2D 
.0533(a)(4)(A), (B). or (C). 

(3) a requirement for controls more strin- 
gent than the applicable emission stan- 
dards in Section 15A NCAC 2D .0500 



1505 



7:15 



NORTH CAROLINA REGISTER 



November 2. 1992 



PROPOSED RULES 



in accordance with Rule 15A NCAC 

2D .0501, or 
(4) any other source that may be designated 

by the Director, 
the information submitted by the owner or opera- 
tor, as well as the agency's analysis of the effect 
on ambient air quality, shall be made available for 
public inspection in at least one location in the 
region affected. This shall be accomplished by 
publishing in the region affected a notice by 
prominent advertisement which shall provide a 
30-day period for submittal of public comment and 
an opportunity for a public hearing request. 
Confidential material will be handled in accor- 
dance with G.S. 143-215. 3(a)(2). 

(e) A public hearing shall be held before the 
issuance of any permit containing any one of these 
conditions: 

(1) any physical or operational limitation 
on the capacity of the source to emit a 
pollutant, including air pollution control 
equipment and restrictions on hours of 
operation or on the type or amount of 
material combusted, stored, or pro- 
cessed, when such limitations are neces- 
sary to assure that regulations rules in 
Section 15A NCAC 2D .0900 do not 
apply in accordance with Regulations 
15A NCAC 2D .0901 and .0902; 

(2) an allowance of controls different than 
the applicable emission standards in 
Section 15A NCAC 2D .0900 in accor- 
dance with Regulation 15A NCAC 2D 
t990§ .0952 ; 

(3) an alternate compliance schedule pro- 
mulgated in accordance with Regulation 
15A NCAC 2D .0910; 

(4) the quantity of solvent-borne ink that 
may be used by a printing unit or print- 
ing systems in accordance with Regula 
ttoft 15A NCAC 2D .0936; or 

(5) an allowance of a particulate emission 
rate of 0.08 grains per dry standard 
cubic foot for incinerators constructed 
before July 1, 1987, in accordance with 
15A NCAC 2D .1205(b)(2). 

The public hearing shall be preceded by a 30-day 
period of public notice during which the agency's 
analysis and draft permit shall be available for 
public inspection in the appropriate regional office. 
If and when a permit containing these conditions is 
issued, it will become a part of the North Carolina 
State Implementation Plan for Air Quality (SIP) as 
an appendix available for inspection at Department 
of Environment. Health, and Natural Resources 



regional offices. The permit will be submitted to 
the U.S. Environmental Protection Agency for 
inclusion as part of the federally approved state 
implementation plan. 

(f) In a permit application for an alternative mix 
of controls under 15A NCAC 2D .0501 (f~), the 
owner or operator of the facility shall demonstrate 
to the satisfaction of the Director that the proposal 
is equivalent to the existing requirements of the 
SIP in total allowed emissions, enforceability, 
reliability, and environmental impact. 

(1) With the exception stated in Subpara- 
graph (2) of this Paragraph, a public 
hearing shall be held before any permit 
containing alternative emission limita- 
tions is issued. The public hearing 
shall be preceded by a 30-day period of 
public notice during which the agency's 
analysis and draft permit shall be avail- 
able for public inspection and comment 
in the appropriate regional office. If 
and when a permit containing these 
conditions is issued, it will become a 
part of the SIP as an appendix available 
for inspection at the department's re- 
gional offices. Until the U.S. Environ- 
mental Protection Agency (EPA) ap- 
proves the SIP revision embodying the 
permit containing an alternative mix of 
controls, the facility shall continue to 
meet the otherwise applicable existing 
SIP requirements. The revision will be 
approved by EPA on the basis of the 
revision's consistency with EPA's 
"Policy for Alternative Emission Re- 
duction Options Within State Implemen- 
tation Plans" as promulgated in the 
Federal Register of December 1 1 , 
1979, pages 71780-71788, and subse- 
quent rulings. 

(2) The permit applicant(s) may choose to 
provide a written acknowledgment that 
the emission rate limitations or control 
techniques allowed under an alternative 
mix of controls involving only volatile 
organic compounds are fully enforce- 
able by EPA as a part of the SIP and 
may be enforced pursuant to Section 
304(a) of the federal Clean Air Act. 
The acknowledgment shall also bind the 
source owner's successors. If the 
acknowledgment is provided to the 
Director, the Director will promptly 
transmit to EPA a copy of the permit 
application. Before the Director issues 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1506 



PROPOSED RULES 



the permit, there shall be a 30-day 
period of public notice during which the 
agency's analysis and draft permit shall 
be available for public inspection and 
comment in the appropriate regional 
office. If and when such permit is 
issued, the Director will promptly 
transmit a copy to EPA. The owner or 
operator of a source located in a 
nonattainment area for ozone as desig- 
nated by the Environmental Protection 
Agency may not initiate the use of this 
option after November 30, 1989; he 
shall follow the procedures set out in 
Subparagraph (1) of this Paragraph. 



Sratutor\ Authorin G.S. 
143-215. 108: 143-215. 109. 



143-215. 3(a)(1); 



IS otice is hereby given in accordance with G.S. 
150B-21.2 that EHNR - Division of Coastal Man- 
agement intends to amend rule cited as 15A 
NC.4C 7H .0208, .1205. 

1 be proposed effective date of this action is April 
1. 1993. 

1 he public hearing will be conducted at 4:00 
p.m. on November 19. 1992 at the Ramada Inn, 
1701 South Virginia Dare Trail. Kill Devil Hills. 
,V. C. 

IXeason for Proposed Action: Tliese amendments 
are intended to clarify existing rules and improve 
consistency among the rules that govern exemp- 
tions, general permits and major permits for pier 
construction. Tlwse changes are considered 
"non-substantive " in that they do not change 
restrictions on where or how long piers can be 
permitted. 

i^cmunent Procedures: All persons interested in 
this matter are invited to attend the public hearing. 
The Coastal Resources Coimnission will receive 
mailed written conunents postnuirked no later than 
December 2, 1992. Any person desiring to present 
lengthy comments is requested to submit a written 
statement for inclusion in the record of proceed- 
ings at the public hearing. Additional information 
concerning the hearing or the proposals may be 



obtained by contacting Dedra Blackwell, Division 
of Coastal Management , P. O. Box 27687, Raleigh. 
NC 27611-7687, (919) 733-2293. 

tLditor's Note: Text shown in Bold Italics was 
adopted by agency on July 24, 1992. These 
changes are pending review by the Rules Review 
Commission for an effective date of December 1, 
1992. A public hearing was held September 24, 
1992, for text shown in Italics and will be adopt- 
ed by the CRC at the November meeting for an 
effective date of February 1, 1993. 

CHAPTER 7 - COASTAL MANAGEMENT 

SUBCIL\PTER 7H - STATE GUIDELEVES 

FOR AREAS OF ENVIRONMENTAL 

CONCERN 

SECTION .0200 - THE ESTUARINE 
SYSTEM 

.0208 USE STANT)ARDS 

(aj General Use Standards 

(1) Uses which are not water dependent 
will not be permitted in coastal 
wetlands, estuarine waters, and public 
trust areas. Restaurants, residences, 
apartments, motels, hotels, trailer 
parks, private roads, factories, and 
parking lots are examples of uses that 
are not water dependent. Uses that are 
v.ater dependent may include: utility 
easements; docks; wharfs; boat ramps; 
dredging; bridges and bridge approach- 
es; revetments, bulkfieads; cuherts; 
groins; navigational aids; mooring 
pilings; navigational channels; simple 
access channels and drainage ditches. 

(2) Before being granted a permit by the 
CRC or local permitting authority, 
there shall be a finding that the appli- 
cant has complied with the following 
standards: 

(A) The location, design, and need for 
development, as well as the construc- 
tion acti\'ities involved must be con- 
sistent with the stated management 
objective. 
(B) Before receiving appro\'al for location 
of a use or development \\ithin these 
AECs, the permit-letting authority 
shall find that no suitable alternative 
site or location outside of the AEC 



7.^-07 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



exists for the use or development and, 
further, that the applicant has selected 
a combination of sites and design that 
will have a minimum adverse impact 
upon the productivity and biologic 
integrity of coastal marshland, shell- 
fish beds, suhnwr(;('il gni. s s beds, beds 
of submersed aquatic vegetation . 
spawning and nursery areas, impor- 
tant nesting and wintering sites for 
waterfowl and wildlife, and important 
natural erosion barriers (cypress 
fringes, marshes, clay soils). 

(C) Development shall not violate water 
and air quality standards. 

(D) Development shall not cause major or 
irreversible damage to valuable docu- 
mented archaeological or historic 
resources. 

(E) Development shall not measurably 
increase siltation. 

(F) Development shall not create stagnant 
water bodies. 

(G) Development shall be timed to have 
minimum adverse significant affect on 
life cycles of estuarine resources. 

(H) Development shall not impede naviga- 
tion or create undue interference with 
access to, or use of, public trust areas 
or estuarine waters. 
0) — Development proposed in estuarine 
waters must also be consistent with 
applicable standards for the ocean 
hamrd system AECs set forth in 
Section . 0300 of this Subchapter . 
(3) When the proposed development is in 
conflict with the general or specific use 
standards set forth in this Rule, the 
CRC may approve the development if 
the applicant can demonstrate that the 
activity associated with the proposed 
project will have public benefits as 
identified in the findings and goals of 
the Coastal Area Management Act, that 
the public benefits clearly outweigh the 
long range adverse effects of the pro- 
ject, that there is no reasonable and 
prudent alternate site available for the 
project, and that all reasonable means 
and measures to mitigate adverse im- 
pacts of the project have been incorpo- 
rated into the project design and will be 
implemented at the applicant's expense. 
These measures taken to mitigate or 
minimize adverse impacts may include 



actions that will: 

(A) minimize or avoid adverse impacts by 
limiting the magnitude or degree of 
the action; 

(B) restore the affected environment; or 

(C) compensate for the adverse impacts 
by replacing or providing substitute 
resources . 

(4) Primary nursery areas are those areas 
in the estuarine system where initial 
post larval development of finfish and 
crustaceans takes place. They are usual- 
ly located in the uppermost sections of 
a system where populations are uni- 
formly early juvenile stages. They are 
officially designated and described by 
the N.C. Marine Fisheries Commission 
in 15A NCAC 3B .1405 and by the 
N.C. Wildlife Resources Commission 
in 15A NCAC IOC .0110. 

(5) Outstanding Resource Waters are those 
estuarine waters and public trust areas 
classified by the N.C. Environmental 
Management Commission pursuant to 
Title 15 A, Subchapter 23 .0216 of the 
N.C. Administrative Code as Outstand- 
ing Resource Waters (ORW) upon 
finding that such waters are of excep- 
tional state or national recreational or 
ecological significance. In those es- 
tuarine waters and public trust areas 
classified as ORW by the Environmen- 
tal Management Commission (EMC), 
no permit required by the Coastal Area 
Management Act will be approved for 
any project which would be inconsistent 
with applicable use standards adopted 
by the CRC, EMC, or Marine Fisheries 
Commission (MFC) for estuarine wa- 
ters, public trust areas, or coastal 
wetlands. For development activities 
not covered by specific use standards, 
no permit will be issued if the activity 
would, based on site specific informa- 
tion, materially degrade the water 
quality or outstanding resource values 
unless such degradation is temporary. 

(6) Beds ol submerged aquatic vegetation 
(SAV) are those habitats m public trust 
and estuarine waters vegetated with one 
or more species of submergent vegeta- 
tion. Jliese vegetation beds occur m 
both subtidal and intertidal zones and 
may occur in isolated patches or cover 
extensive areas. In either case, the bed 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



150 fi 



PROPOSED RULES 



is defined by [he presence of 
ahovc-i^round leaves or the 
below-iiround rhizomes and propasules. 
(b) Specific Use Standards 
(1) Navigation channels, canals, and boat 
basins must be aligned or located so as 
to avoid primary nursery areas highly 
producti\e shellfish beds, beds (>f sub 
;»< ' rt,vc/ ve^iicuilion . beds of submersed 
Luiucitic vegetation , or significant areas 
of regularly or irregularly flooded 
coastal wetlands. 

(A) Navigation channels and canals can be 
allowed may be allowed through 
narrow fringes of regularly and ir- 
regularly flooded coastal wetlands if 
the loss of wetlands will have no 
significant adverse impacts on fishery 
resources, water quality or adjacent 
wetlands, and. if there is no reason- 
able alternati\e that would avoid the 
wetland losses. 

(B) All spoil material from new construc- 
tion shall be confined landward of 
regularly and irregularly flooded 
coastal wetlands and stabilized to 
prevent entry of sediments into the 
adjacent water bodies or marsh. 

(C) Spoil from maintenance of channels 
and canals through irregularly flooded 
wetlands shall be placed on 
non- wetland areas, remnant spoil 
piles, or disposed of by an acceptable 
method having no significant, long 
term wetland impacts. Under no 
circumstances shall spoil be placed on 
regularly flooded wetlands. 

(D) Widths of the canals and channels 
shall be the minimum required to 
meet the applicant's needs and pro- 
vide adequate water circulation. 

(E) Boat basin design shall maximize 
water e.xchange by having the widest 
possible opening and the shortest 
practical entrance canal. Depths of 
boat basins shall decrease from the 
waterward end inland. 

(F) Any canal or boat basin shall be 
excavated no deeper than the depth of 
the connecting channels. 

(G) Canals for the purpose of multiple 
residential development shall have: 

(i) no septic tanks unless they meet 
the standards set by the Division 
of Environmental Management 



and the Division of Environmental 
Health; 
(ii) no untreated or treated point 

source discharge; 
(iii) storm water routing and retention 
areas such as settling basins and 
grassed swales. 
(H) Construction of finger canal systems 
will not be allowed. Canals shall be 
either straight or meandering with no 
right angle corners. 
(I) Canals shall be designed so as not to 
create an erosion hazard to adjoining 
property. Design may include 
bulkheading, vegetative stabilization, 
or adequate setbacks based on soil 
characteristics. 
(J) Maintenance excavation in canals, 
channels and boat basins within pri- 
mary nursery areas and beds of sub- 
merged aquatic vegetation should be 
avoided. However, when essential to 
maintain a traditional and established 
use, maintenance excavation may be 
approved if the applicant meets all of 
the following criteria as shown by 
clear and convincing evidence accom- 
panying the permit application. This 
Rule does not affect restrictions 
placed on permits issued after March 
1, 1991. 
(i) The applicant ettn — demonstrate 
and document denwnstrates and 
documents that a water-dependent 
need exists for the excavation; 
and 
(ii) There exists a previously permit- 
ted channel which was constructed 
or maintained under permits 
issued by the State and /or or 
Federal government. If a natural 
channel was in use, or if a 
human-made channel was con- 
structed before permitting was 
necessary, there must be clear 
evidence that the channel was 
continuously used for a specific 
purpose; and 
(iii) Excavated material can be re- 
moved and placed in an approved 
disposal area without significantly 
impacting adjacent nursery areas 
cmd beds of submersed aquatic 
vegetation : and 
(iv) The original depth and width of a 



1509 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



human-made or natural channel 
will not be increased to allow a 
new or expanded use of the chan- 
nel. 

(2) Hydraulic Dredging 

(A) The terminal end of the dredge pipe- 
line should shall be positioned at a 
distance sufficient to preclude erosion 
of the containment dike and a maxi- 
mum distance from spillways to allow 
adequate settlement of suspended 
solids. 

(B) Dredge spoil must be either confmed 
on high ground by adequate retaining 
structures or if the material is suit- 
able, deposited on beaches for purpos- 
es of renourishment. with the excep- 
tion of (G) of this Subsection (b)(2). 

(C) Confinement of excavated materials 
shall be on high ground landward of 
regularly and irregularly flooded 
marshland and with adequate soil 
stabilization measures to prevent entry 
of sediments into the adjacent water 
bodies or marsh. 

(D) Effluent from diked areas receiving 
disposal from hydraulic dredging 
operations must be contained by pipe, 
trough, or similar device to a point 
waterward of emergent vegetation or, 
where local conditions require, below 
mean low water. 

(E) When possible, effluent from diked 
disposal areas shall be returned to the 
area being dredged. 

(F) A water control structure must be 
installed at the intake end of the 
effluent pipe. 

(G) Publicly funded projects will be con- 
sidered by review agencies on a 
case-by-case basis with respect to 
dredging methods and spoil disposal. 

(H) Dredge spoil from closed shellfish 
waters and effluent from diked dispos- 
al areas used when dredging in closed 
shellfish waters shall be returned to 
the closed shellfish waters. 

(3) Drainage Ditches 

(A) Drainage ditches located through any 
marshland shall not exceed six feet 
wide by four feet deep (from ground 
surface) unless the applicant van show 
shows that larger ditches are neces- 
sary for adequate drainage. 

(B) Spoil derived from the construction or 



maintenance of drainage ditches 
through regularly flooded marsh must 
be shall he placed landward of these 
marsh areas in a manner that will 
insure that entry of sediment into the 
water or marsh will not occur. Spoil 
derived from the construction or 
maintenance of drainage ditches 
through irregularly flooded marshes 
shall be placed on nonwetlands wher- 
ever feasible. Non-wetland areas 
include relic disposal sites. 

(C) Excavation of new ditches through 
high ground shall take place landward 
of a temporary earthen plug or other 
methods to minimize siltation to 
adjacent water bodies. 

(D) Drainage ditches shall not have a 
significant adverse effect on primary 
nursery areas, productive shellfish 
beds, suhmcr t n'tj i;rass beds, beds of 
submersed aquatic vegetation . or 
other documented important estuarine 
habitat. Particular attention should 
shall be placed on the effects of fresh- 
water inflows, sediment, and nutrient 
introduction. Settling basins, water 
gates, retention structures are exam- 
ples of design alternatives that may be 
used to minimize sediment introduc- 
tion. 

(4) Nonagricultural Drainage 

(A) Drainage ditches must be shall be 
designed so that restrictions in the 
volume or diversions of flow are 
minimized to both surface and ground 
water. 

(B) Drainage ditches shall provide for the 
passage of migratory organisms by 
allowing free passage of water of 
sufficient depth. 

(C) Drainage ditches shall not create 
stagnant water pools or significant 
changes in the velocity of flow. 

(D) Drainage ditches shall not divert or 
restrict water flow to important 
wetlands or marine habitats. 

(5) Marinas. Marinas are defined as any 
publicly or privately owned dock, basin 
or wet boat storage facility constructed 
to accommodate more than 10 boats 
and providing any of the following 
services: permanent or transient dock- 
ing spaces, dry storage, fueling facili- 
ties, haulout facilities and repair ser- 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1510 



PROPOSED RULES 



vice. Excluded from this definition are 
boat ramp facilities allowing access 
only, temporary docking and none of 
the preceding services. Expansion of 
existing facilities shall also comply with 
these standards for all development 
other than maintenance and repair 
necessary to maintain previous service 
levels. 

(A) Marinas shall be sited in non-wetland 
areas or in deep waters (areas not 
requiring dredging) and shall not 
disturb valuable shallow water, sub- 
merged aquatic vegetation, and 
wetland habitats, except for dredging 
necessary' for access to high-ground 
sites. The following four alternatives 
for siting marinas are listed in order 
of preference for the least damaging 
alterative; marina projects shall be 
designed to have the highest of these 
four priorities that is deemed feasible 
by the permit letting agency: 

(i) an upland basin site requiring no 
alteration of wetland or estuarine 
habitat and providing adequate 
flushing by tidal or wind generat- 
ed water circulation; 

(ii) an upland basin site requiring 
dredging for access when the 
necessary dredging and operation 
of the marina will not result in the 
significant degradation of existing 
fishery, shellfish, or wetland 
resources and the basin design 
shall provide adequate flushing by 
tidal or wind generated water 
circulation; 

(iii) an open water site located outside 
a primary nursery area which 
utilizes piers or docks rather than 
channels or canals to reach deeper 
water; and 

(iv) an open water marina requiring 
excavation of no intertidal habitat, 
and no dredging greater than the 
depth of the connecting channel. 

(B) Marinas which require dredging shall 
not be located in primary nursery 
areas nor in areas which require 
dredging through primary nursery 
areas for access. Maintenance dredg- 
ing in primary nursery areas for 
existing marinas will be considered on 
a case-bv-case basis. 



(C) To minimize coverage of public trust 
areas by docks and moored vessels, 
dry storage marinas shall be used 
where feasible. 

(D) Marinas to be developed in waters 
subject to public trust rights (other 
than those created by dredging upland 
basins or canals) for the purpose of 
providing docking for residential 
developments shall be allowed no 
more than 27 sq. ft. of public trust 
areas for every one lin. ft. of shore- 
line adjacent to these public trust 
areas for construction of docks and 
mooring facilities. The 27 sq. ft. 
allocation shall not apply to fairway 
areas between parallel piers or any 
portion of the pier used only for 
access from land to the docking spac- 
es. 

(E) To protect water quality of 
shellfishing areas, marinas shall not 
be located within areas where shell- 
fish harvesting for human consump- 
tion is a significant existing use or 
adjacent to such areas if shellfish 
harvest closure is anticipated to result 
from the location of the marina. In 
compliance with Section 101(a)(2) of 
the Clean Water Act and North Caro- 
lina Water Quality Standards adopted 
pursuant to that section, shellfish 
harvesting is a significant existing use 
if it can be established that shellfish 
have been regularly harvested for 
human consumption since November 
28, 1975 or that shellfish apparently 
are propagating and surviving in a 
biologically suitable habitat and are 
available and suitable for harvesting 
for the purpose of human consump- 
tion. The Division of Marine Fisher- 
ies shall be consulted regarding the 
significance of shellfish harvest as an 
existing use and the magnitude of the 
quantities of shellfish which have 
been harvested or are available for 
harvest in the area where harvest will 
be affected by the development. 

(F) Marinas shall not be located without 
written consent from the controlling 
parties in areas of submerged lands 
which have been leased from the state 
or deeded by the state. 

(G) Marina basins shall be designed to 



1511 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



promote flushing through the follow- 
ing design criteria: 
(i) the basin and channel depths shall 
gradually increase toward open 
water and shall never be deeper 
than the waters to which they 
connect; and 
(ii) when possible, an opening shall 
be provided at opposite ends of 
the basin to establish flow-through 
circulation. 

(H) Marinas shall be designed to minimize 
adverse effects on navigation and 
public use of public trust areas while 
allowing the applicant adequate access 
to deep waters. 

(I) Marinas shall be located and con- 
structed so as to avoid adverse im- 
pacts on navigation throughout all 
federally maintained channels and 
their immediate boundaries. This 
includes mooring sites (permanent or 
temporary), speed or traffic reduc- 
tions, or any other device, either 
physical or regulatory, that may cause 
a federally maintained channel to be 
restricted. 

(J) Open water marinas shall not be 
enclosed within breakwaters that 
preclude circulation sufficient to 
maintain water quality. 

(K) Marinas which require dredging shall 
provide acceptable areas to accommo- 
date disposal needs for future mainte- 
nance dredging. Proof of the ability to 
truck the spoil material from the 
marina site to an acceptable disposal 
area will be acceptable. 

(L) Marina design shall comply with all 
applicable requirements for manage- 
ment of stormwater runoff. 

(M) Marinas shall post a notice prohibiting 
the discharge of any waste from boat 
toilets and explaining the availability 
of information on local pump-out 
services. 

(N) Boat maintenance areas must be de- 
signed so that all scraping, sandblast- 
ing, and painting will be done over 
dry land with adequate containment 
devices to prevent entity of waste 
materials into adjacent waters. 

(O) All marinas shall comply with all 
applicable standards for docks and 
piers, bulkheading, dredging and spoil 



disposal. 

(P) All applications for marinas shall be 
reviewed to determine their potential 
impact and compliance with applica- 
ble standards. Such review shall 
consider the cumulative impacts of 
marina development. 

(Q) Replacement of existing marinas to 
maintain previous service levels shall 
be allowed provided that the preced- 
ing rules are complied with to the 
maximum extent possible, with due 
consideration being given to replace- 
ment costs, service needs, etc. 
(6) Docks and Piers 

(A) Docks and piers shall not significantly 
interfere with water flows. 

(B) To preclude the adverse effects of 
shading coastal wetlands vegetation, 
docks and piers built over coastal 
wetlands shall not exceed six feet in 
width. "T"s and platforms associated 
with residential piers must be at the 
waterward end. and must not exceed 
a total area of 500 sq. ft. with no 
more than six feet of the dimension 
perpendicular to the marsh edge 
extending over coastal wetlands. 
Water dependent projects requiring 
piers or wharfs of dimensions greater 
than those stated in this Rule shall be 
considered on a case-by-case basis. 

(C) Piers shall be designed to minimize 
adverse effects on navigation and 
public use of waters while allowing 
the applicant adequate access to deep 
waters by: 

(i) not extending beyond the estab- 
lished pier length along the same 
shoreline for similar use; (This 
restriction shall not apply to piers 
200 feet or less in length unless 
necessary to avoid unreasonable 
interference with navigation or 
other uses of the waters by the 
public); 

(ii) not extending into the channel 
portion of the water body; and 

(iii) not extending more than one-third 
the width of a natural water body 
or man-made canal or basin. 
Measurements to determine 
widths of the channels, canals or 
basins shall be made from the 
waterward edge of any coastal 



7:15 



NORTH CAROLINA REGISTER 



November 2. 1992 



1512 



PROPOSED RULES 



(D) 



(E) 



(Fj 



wetland vegetation which borders 
the water body. The one-third 
length limitation will not apply in 
areas where the U.S. .Army Corps 
of Engineers, or a local govern- 
ment in consultation with the 
Corps of Engineers, has estab- 
lished an official pier-head line. 
Pier alignments along federally main- 
tained channels must meet Corps of 
Engineers District guidelines. 
Piers shall not interfere with the 
access to any riparian property and 
shall have a minimum setback of 15 
feet between any part of the pier and 
the adjacent property owner's areas of 
riparian access. The line of division 
of areas of riparian access shall be 
established by drawing a line along 
the channel or deep water in front of 
the properties, then drawing a line 
perpendicular to the line of the chan- 
nel so that it intersects with the shore 
at the point the upland property line 
meets the water's edge. TTie minimum 
setback provided in the rule may be 
wai\ed by the written agreement of 
the adjacent riparian owner* s) or 
when two adjoining riparian owners 
are co-applicants. Should the adjacent 
property be sold before construction 
of the pier commences, the applicant 
shall obtain a written agreement with 
the new owner wai\ing the minimum 
setback and submit it to the permitting 
agency prior to initiating any develop- 
ment of the pier. Application of this 
rule may be aided by reference to an 
approved diagram illustrating the rule 
as applied to \arious shoreline config- 
urations. Copies of the diagram may 
be obtained from the Di\ision of 
Coastal Management. When shoreline 
configuration [s such that a perpendic- 
ular alignment cannot be achieved. 



the pier shall be aligned to meet the 
intent of this rule to the maximum 
e.xtent practicable. 

Docks and piers shall not significantly 
interfere with shellfish franchises or 
leases. Applicants for authorization to 
construct a dock or pier shall pro\ide 
notice of the permit application or 
exemption request to the owner of any 
part of a shellfish franchise or lease 



over which the proposed dock or pier 
would extend. 
(7j Bulkheads and Shore Stabilization Mea- 
sures 
fAi Bulkhead alignment, for the purpose 
of shoreline stabilization, mufrt .'-hall 
approximate mean high water or 
normal water level. 
(Bj Bulkheads shall be constructed land- 
ward of significant marshland or 
marshgrass fringes. 
(C) Bulkhead fill material shall be ob- 
tained from an approved upland 
source, or if the bulkhead is a part of 
a permitted project invoh'ing excasa- 
tion from a non-upland source, the 
material so obtained may be contained 
behind the bulkhead. 
(Dj Bulkheads or other structures em- 
ployed for shoreline stabilization shall 
be permitted below approximate mean 
high water or normal water le\el only 
when the following standards are met; 
(i) the property to be bulkheaded has 
an identifiable erosion problem, 
whether it results from natural 
causes or adjacent bulkheads, or it 
has unusual geographic or geolog- 
ic features, e.g. steep grade bank, 
which will cause the applicant 
unreasonable hardship under the 
other pro\isions of this Rcgula 
tion; Rule; 
(ii) the bulkhead alignment extends no 
further below appro.ximate mean 
high water or normal water level 
than necessary to allow recover}' 
of the area eroded in the year 
prior to the date of application, to 
align with adjacent bulkheads, or 
to mitigate the unreasonable hard- 
ship resulting from the unusual 
geographic or geologic feamres; 
fiii) the bulkhead alignment will not 
result in significant adverse im- 
pacts to public trust rights or to 
the property of adjacent riparian 
owners: 
(iv) the need for a bulkhead below 
approximate mean high water or 
normal water level is documented 
in the Field ln\"estigation Report 
or other reports prepared by the 
Division of Coastal Management; 
and 



1513 



7:15 



SORTH CAROLIXA REGISTER 



Xovember 2, 1992 



PROPOSED RULES 



(v) the property to be bulkheaded is 
in a nonoceantront area. 
(E) Where possible, sloping rip-rap, 
gabions, or vegetation may shall be 
used rather than vertical seawalls. 
(8) Beach Nourishment 

(A) Beach creation tind/or or maintenance 
may be allowed to enhance water 
related recreational facilities for pub- 
lic, commercial, and private use. 

(B) Beaches etm nui\ be created ami/or or 
maintained in areas where they have 
historically been found due to natural 
processes. They will not be allowed 
in areas of high erosion rates where 
frequent maintenance will be neces- 
sary. 

(C) Placing unconfined sand material in 
the water and along the shoreline will 
not be allowed as a method of shore- 
line erosion control. 

(D) Material placed in the water and along 
the shoreline shall be clean sand free 
from pollutants and highly erodible 
fmger material. Grain size shall be 
equal to or larger than that found na- 
turally at the site. 

(E) Material from dredging projects can 
be used for beach nourishment if: 

(i) it is first handled in a manner 
consistent with regulations rules 
governing spoil disposal; 

(ii) it is allowed to dry for a suitable 
period; and 

(iii) only that material of acceptable 
grain size is removed from the 
disposal site for placement on the 
beach. Material shall not be 
placed directly on the beach by 
dredge or dragline during mainte- 
nance excavation. 

(F) Beach creation shall not be allowed in 
any primary nursery areas, nor in any 
areas where siltation from the site 
would pose a threat to shellfish beds. 

(G) Material shall not be placed on any 
coastal wetlands or hcds of submerged 
aquatic vegetation. 

(H) Material shall not be placed on any 
submerged bottom with significant 
shellfish resources. 

(I) Beach construction shall not create the 
potential for filling adjacent or nearby 
navigation channels, canals, or boat 
basins. 



(J) 
(K) 

(L) 



(9) 



(A) 



(B) 



Beach construction shall not violate 
water quality standards. 
Permit renewal of these projects shall 
require an evaluation of any adverse 
impacts of the original work. 
Permits issued for this development 
shall be limited to authorizing beach 
nourishment only one time during the 
life of the permit. Permits may be 
renewed for maintenance work or re- 
peated need for nourishment. 
Wooden and Riprap Groins 
Groins shall not extend more than 25 
ft. waterward of the mean high water 
or normal water level unless a longer 
structure can he is justified by site 
specific conditions, sound engineering 
and design principals. 
Groins shall be set back a minimum 
of 15 ft. from the adjoining property 
lines. This setback may be waived by 
written agreement of the adjacent 
riparian owner(s) or when two adjoin- 
ing riparian owners are co-applicants. 
Should the adjacent property be sold 
before construction of the groin com- 
mences, the applicant shall obtain a 
written agreement with the new owner 
waiving the minimum setback and 
submit it to the permitting agency 
prior to initiating any development of 
the groin. 

Groins shall pose no threat to naviga- 
tion. 

The height of groins shall not exceed 
1 ft. above mean high water or the 
normal water level. 
No more than two structures shall be 
allowed per 100 ft. of shoreline unless 
the applicant can provide provides 
evidence that more structures are 
needed for shoreline stabilization. 
"L" and "T" sections shall not be 
allowed at the end of groins. 
Riprap material used for groin con- 
struction shall be free from loose dirt 
or any other pollutant in other than 
non-harmful quantities and of a size 
sufficient to prevent its movement 
from the site by wave and current 
action. 



Statiiton,- Aurliority G.S. USA- 107(h): 1J3A-108: 
lUA-J 13(h); 113A-124. 



(C) 
(D) 

(E) 



(F) 
(G) 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1514 



PROPOSED RULES 



SECTION .1200 - GENERAL PERIVHT FOR 

CONSTRUCTION OF PIERS: DOCKS: AND 

BOAT HOUSES EV ESTUAREVE AND 

PUBLIC TRUST WATERS 

.1205 SPECIFIC CONDITIONS 

(a) Piers, docks, and boat houses may extend or 
be located up to a maximum of 400 feet from the 
mean high water contour line, or the normal water 
level, whichever is applicable. 

(b) Piers, docks, and boat houses shall not 
extend beyond the established pier length along the 
same shoreline for similar use. This restriction 
shall not apply to piers 200 feet or less in length 
unless necessary to avoid unreasonable interference 
with navigation or other uses of the waters by the 
public. 

(c) Piers and docks shall be elevated over 
coastal wetlands and shall not exceed 6 feet in 
width. 

(d) Boat houses shall have open sides and have 
a floor area not to exceed 500 square feet. 



fe^ 



Piers. dool< 



and boat houses shall be 



ICrS. — Q0CK5. 

conatruetod no clo s er than 8.*^ foel to the near 
bottom edge of any federally maintained navigation 
channel. 

(e) Pier alignments along federally maintained 
channels must meet Corps of Engineers guidelines. 

(f) Piers, docks, and boat houses shall in no 
case extend more than 1/3 the width of a natural 
water body or man-made canal or basin. 

(g) Piers, docks and boat houses shall not 
interfere with the access to any riparian property, 
and shall have a minimum setback of 15 feet 
between any part of the pier and the adjacent 
property lines extended into the water at the points 
that they intersect the shoreline. The minimum 
setbacks provided in the rule may be waived by 
the written agreement of the adjacent riparian 
owner(s), or when two adjoining riparian owners 
are co-applicants. Should the adjacent property be 
sold before construction of the pier commences, 
the applicant shall obtain a written agreement with 
the new owner waiving the minimum setback and 
submit it to the Division of Coastal Management 
prior to initiating any development of the pier, 
dock, or boat house. The line of division of areas 
of riparian access shall be established by drawing 
a line along the channel or deep water in front of 
the property, then drawing a line perpendicular to 
the line of the channel so that it intersects with the 
shore at the point the upland property line meets 
the water's edge. 

(h) Piers and docks may have "T" heads or 
platforms not exceeding 500 square feet built at 



their waterward end and not covering any vegetat- 
ed wetland areas. 

(i) For all new or replacement floating facilities, 
flotation units shall be constructed of material 
which will not become waterlogged or sink when 
punctured. 

(j) This general permit is not applicable on 
ocean beaches. 

(k) Piers, and mooring facilities shall be de- 
signed to provide docking space for no more than 
4 boats. 

(]} Docks and piers shall not significantly inter- 
fere with shellfish franchises or leases. Applicants 
for authorization to construct a dock or pier shall 
provide notice of the permit application to the 
owner of any part of a shellfish franchise or lease 



over which the proposed dock or pier would 
extend. 

Statutory Authority G.S. 1 1 3A-107(a); 
1 1 3A-W7(h): 1 1 3A-] 1 3(h): 11 3A-1 1 8. } : 1 1 3A-1 24. 



^ ifi ^ ^ ^ ^ 



>fi if ii: ifi :ifi if 



l\ otice is hereby given in accordance with G.S. 
1508-21. 2 that EHNR - Division of Coastal Man- 
agement intends to amend rule cited as 15A 
NCAC 7H .0308. 

1 he proposed effective date of this action is 
February 1, 1993. 

1 he public hearing will be conducted at 4:00 
p.m. on November 19, 1992 at the Ramada Inn, 
1701 South Virginia Dare Trail. Kill Devil Hills. 
N.C. 

Ixeason for Proposed Action: TJiese amendments 
are intended to address special needs for shoreline 
stabilization along the harrier islands that could 
allow the use of erosion-control structures to 
protect historic sites of national significance and 
commercial navigation channels. 

(comment Procedures: All persons interested in 
this matter are invited to attend the public hearing. 
Tlie Coastal Resources Cotnmission will receive 
mailed written comments postmarked no later than 
December 2. 1992. Any person desiring to present 
lengthy comments is requested to submit a written 
statement for inclusion in the record of proceed- 
ings at the public hearing. Additional information 



1515 



7:15 



NORTH CAROLINA REGISTER 



November 2. 1992 



PROPOSED RULES 



concerning the hearing or the proposals may be 
obtained by contacting Dedra Blackwell, Division 
of Coastal Management . P.O. Bo.x 27687, Raleigh, 
NC 27611-7687, (919) 733-2293. 

Jbiditor's Note: Text shown in Italics was adopt- 
ed by the CRC on September 25, 1992. nese 
changes are pending review by the Rules Review 
Commission for an effective date of December 1, 
1992. 

CHAPTER 7 - COASTAL MANAGEMENT 

SUBCHAPTER 7H - STATE GUIDELINES 

FOR AREAS OF EIWIRONME^^^AL 

CONCERN 

SECTION .0300 - OCEAN HAZARD AREAS 

.0308 SPECIFIC USE STANDARDS 
FOR OCEAN HAZARD AREAS 

(a) Ocean Shoreline Erosion Control Activities: 
(1) Use Standards Applicable to all Erosion 

Control Activities: 

(A) Preferred erosion control measures 
shall be beach nourishment projects 
and relocation. Alterative approaches 
will be allowed where the applicant 
can show that such measures are nec- 
essary to provide adequate protection. 
Comprehensive shoreline management 
shall be preferred over small scale 
methods. 

(B) Erosion control structures which 
cause significant adverse impacts on 
the value and enjoyment of adjacent 
properties or public access to and use 
of the ocean beach are prohibited. 
Such structures include, but are not 
limited to, wooden bulkheads, 
seawalls, rock or rubble revetments, 
wooden, metal, concrete or rock 
jetties, groins and breakwaters; 
concrete-filled sandbags and tire 
structures. 

(C) Rules concerning the use of 
oceanfront erosion control measures 
apply to all oceanfront properties 
without regard to the size of the 
structure on the property or the date 
of its construction. 

(D) Erosion control measures which will 
interfere with public access to and use 
of the ocean beaches are prohibited. 



{E) — Erosion control measures which sig 
nificantly increase erosion on aJjaccnt 
properties are prohibited. 

fF) £E] All oceanfront erosion control 
activities, other than beach bulldoz- 
ing, placement of sandbag structures 
or artificial seaweed shall demonstrate 
sound engineering for their planned 
purpose and shall be certified by a 
licensed engineer prior to being per- 
mitted. 

{G) [Fj Shoreline erosion control projects 
shall not be constructed in beach or 
estuarine areas that sustain substantial 
habitat for important wildlife species 
unless adequate mitigation measures 
are incorporated into project design, 
as set forth in Rule .0306(1) of this 
Section. 

i^ij [Gj Project construction shall be 
timed to have minimum significant 
adverse effect on biological activity. 

{fj (Hj The applicant shall notify all 
littoral property owners within 100" of 
the boundaries of the project site and 
no permit shall be issued until the 
property owner(s) has signed the 
notice form or until a reasonable 
effort has been made to serve notice 
on the owner(s) by registered or cer- 
tified mail. 

■^ [Ij All oceanfront erosion control 
projects shall be consistent with the 
general policy statements in 15A 
NCAC 7M .0200. 

i-K) QJ Prior to beginning any beach 
nourishment or structural erosion 
control project, all exposed remnants 
of or debris from failed erosion con- 
trol structures must be removed by 
the permittee. 

fhj [Kj All permitted erosion control 
devices shall be marked so as to allow 
identification for monitoring and 
potential cleanup purposes. 

(M) (LI Erosion control structures that 
would otherwise be prohibited by 
these standards may be permitted on 
finding that: 
(i) the erosion control structure is 
necessary to protect a bridge 
which provides the only existing 
road access to a substantial popu- 
lation on a barrier island; that is 
vital to public safety; and is immi- 



7.-75 



NORTH CAROLINA REGISTER 



November 2, 1992 



1516 



PROPOSED RULES 



(M) 



nently threatened by erosion; 
(ii) the preferred erosion control 
measures of relocation, beach 
nourishment or temporar\' sta- 
bilization are not adequate to 
protect public health and safety; 
and 
(iii) the proposed erosion control 
measure will have no adverse 
impacts on adjacent properties in 
private ownership and will have 
minimal impacts on public use of 
the beach. 
Erosion control structures that would 
otherwise be prohibited by these 
standards may also be permitted on 
fmding that: 
(I) the erosion control stiTJCture is 
necessary to protect an historic 
site of national significance, 
which is imminently threatened by 
s horeline erosion; and 

control 



iiii 



the preferred erosion 
methods of relocation- 



beach 

nourishment or temporary stabili- 
zation are not adequate and practi- 
cable to protect the site; and 

(iii) the erosion control stnicture is 
limited in extent and scope to that 
necessary to protect the site; and 

(i\') a responsible public agency enters 
into binding agreements to pro- 
vide adequate mitigation for all 
adverse impacts caused by the 
permitted structure. 
(N) Erosion control structures that would 
otherwise be prohibited by these 
standards may also be permitted on 
finding that: 

(i) the erosion control structure is 
necessar\' to maintain an existing 
commercial navigation channel; 
and 

(ii) dredging alone is not adequate to 
maintain safe access to the effect- 
ed channel; and 

(iii) the erosion control structure is 
limited in extent and scope to that 
necessary to maintain the channel, 
and 

(iv) the erosion control structure will 
not result in substantial ad\erse 
impacts to fisheries or other pub- 
lic trust resources; and 

(V) a restionsible public agency enters 



into binding agreements to pro- 
vide adequate mitigation for all 
adverse impacts caused by the 
permitted structure. 
(2) Temporary Erosion Control Structures 
(Aj Permittable temporal'}' erosion control 
structures include only the following: 

(i) Bulkheads or similar structures 
made of sandbags or comparable 
materials; 

(ii) Low sandbag groins or sandbag 
sediment trapping structures above 
mean high water provided they 
are continuously buried by suit- 
able sand from an outside source. 

(B) Temporary erosion control structures 
as defined in (A) of this Paragraph 
may be used only to protect immi- 
nently threatened structures. Normal- 
ly, a structure will be considered to 
be imminently threatened if its foun- 
dation is less than 20 feet away from 
the erosion scarp. 

(C) Shore-parallel temporary' erosion 
control structures must not extend 
more than 20 feet past the end of the 
structure to be protected. The erosion 
control structure also must not come 
closer than 15 feet to the applicant's 
side property lines unless the applica- 
tion is part of a joint project with 
neighbors trying to protect similarly 
threatened structures or unless the 
applicant has written permission from 
the affected property owner. The 
landward side of such temporary 
erosion control structures shall not be 
located more than 20 feet seaward of 
the property to be protected. 

(D) If a temporary' erosion control struc- 
ture interferes with public access and 
use of the ocean beach, or if it re- 
quires burial but remains continuously 
exposed for more than six months it 
must be removed by the permittee 
within 30 days of notification by the 
Coastal Resources Commission or its 
representatives. In addition, the per- 
mittee shall be responsible for the 
removal of remnants of all or portions 
of the temporary erosion control 
structure damaged by storms or con- 
tinued erosion. 

(E) Once the temporary' erosion control 
structure is determined to be unneces- 



1517 



7:15 



NORTH CAROLINA REGISTER 



November 2. 1992 



PROPOSED RULES 



sary due to a natural reversal of the 
eroding condition, relocation of the 
threatened structure, or adoption of an 
alternate erosion control method, any 
remnants of the temporary erosion 
control structure exposed seaward of 
or on the beach must be removed by 
the permittee within 30 days of notifi- 
cation by the Coastal Resources Com- 
mission or its representatives. 
(F) Temporary sandbag bullcheads 
permittable by this Rule shall be of a 
size and configuration consistent with 
their allowed purpose. Such structures 
may be appropriately anchored and 
shall not exceed a width at their base 
of three sandbags or a maximum of 
fifteen feet. In no case shall the struc- 
ture extend below the mean high 
water line. 

(3) Sand-Trapping Devices: Low intensity 
off-shore passive sand-trapping devices 
may be permitted provided: 

(A) A minimum of two signs no smaller 
than 12 inches x 18 inches will be 
placed and maintained on poles on the 
ocean beach at least 6' above ground 
level that will indicate to fishermen, 
surfers and bathers that the structures 
or devices are present offshore. 

(B) The structures or devices will be 
removed at the expense of the appli- 
cant should they be documented as a 
nuisance to private property or to the 
public well being. "Nuisance" will be 
defined as any interference with rea- 
sonable use of public trust areas or 
other lands within the ocean hazard 
system AECs that are subject to pub- 
lic trust use. 

(C) The structures or devices will be 
aligned no closer than 450 feet sea- 
ward of the first line of stable natural 
vegetation or 300 feet from the mean 
high water line, whichever is further 
seaward. 

(4) Beach Nourishment. Sand used for 
beach nourishment should be compati- 
ble with existing grain size and type. 
Sand to be used for beach nourishment 
shall be taken only from those areas 
where the resulting environmental 
impacts will be minimal. 

(5j Beach Bulldozing. Beach bulldozing 
(defined as the process of moving natu- 



ral beach material from any point sea- 
ward of the first line of stable vegeta- 
tion to create a protective sand dike or 
to obtain material for any other pur- 
pose) is development and may be per- 
mitted as an erosion control measure if 
the following conditions are met: 

(A) The area on which this activity is 
being performed must maintain a 
slope of adequate grade so as to not 
endanger the public or the public's 
use of the beach and should follow 
the preemergency slope as closely as 
possible. The movement of material 
utilizing a bulldozer, front end loader, 
backhoe, scraper, or any type of earth 
moving or construction equipment 
should not exceed one foot in depth 
measured from the pre-activity surface 
elevation; 

(B) The activity must not exceed the 
lateral bounds of the applicant's prop- 
erty unless he has permission of the 
adjoining land owner(s); 

(C) Movement of material from seaward 
of the low water line will require a 
CAMA Major Development and State 
Dredge and Fill Permit; 

(D) The activity must not significantly 
increase erosion on neighboring prop- 
erties and must not have a significant 
adverse effect on important natural or 
cultural resources; 

(E) The activity may be undertaken to 
protect threatened on-site waste dis- 
posal systems as well as the threat- 
ened structure's foundations. 

(b) Dune Establishment and Stabilization. 
Activities to establish dunes shall be allowed so 
long as the following conditions are met: 

(1) Any new dunes established shall be 
aligned to the greatest extent possible 
with existing adjacent dune ridges and 
shall be of the same general configura- 
tion as adjacent natural dunes. 

(2) Existing primary and frontal dunes shall 
not, except for beach nourishment and 
emergency situations, be broadened or 
extended in an oceanward direction. 

(3) Adding to dunes shall be accomplished 
in such a manner that the damage to 
existing vegetation is minimized. The 
filled areas will be immediately replant- 
ed or temporarily stabilized until plant- 
ing can be successfully completed. 



7:15 



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November 2, 1992 



1518 



PROPOSED RULES 



(4) Sand used to establish or strengthen 
dunes must be hroui;hl in from ii source 
outsidi ' flic iKcan hazard arcii and must 
he of the samt ' nature as the sand in the 
area in which if is to he placed, of the 
same a en era I characteristics as the 
sand in the area in which it is to he 
placed. 

(5) No new dunes shall be created in inlet 
hazard areas. 

(6) n>at sand held in sforaiie in any dune 
other than frontal or priman dunes 
may be moved laterally in order to 
strengthen e.xistint; primary or frontal 
dunes if the work M'ould enhance the 
protection !o the proposed development 
activity. Sand held in storaiie in an\ 
dune, other than the frontal or priman 
dune, max he redistributed within the 
AEC provided that ij_ is not placed any 
farther ocean ward than the crest of a 
prinuir\- dune or landward toe of a 
frontal dune. 

(7) No disturbance of a dune area will be 
allowed when other techniques of con- 
stiojction can be utilized and alterative 
site locations exist to a\'oid unnecessary' 
dune impacts. 

(c) Structural Accessways 

( 1 ) Structural accessways shall be permitted 
across priman,' dunes so long as they 
are designed and constructed in a man- 
ner which entails negligible alteration 
on the primary dune. Structural ac- 
cessways may not be considered threat- 
ened structures for the purpose of Para- 
graph (a) of this Rule. 

(2) An accessway shall be conclusively 
presumed to entail negligible alteration 
of a primary dune 

(A) The accessway is exclusively for 
pedestrian use; 

(B) The accessway is less than six feet in 
width; and 

(C) The accessway is raised on posts or 
pilings of five feet or less depth, so 
that wherever possible only the posts 
or pilings touch the frontal dune. 
Where this is deemed impossible, the 
structure shall touch the dune only to 
the extent absolutely necessary. In no 
case shall an accessway be permitted 
if it will diminish the dune's capacity 
as a protective barrier against flood- 
ing and erosion; and 



(D) Any areas of vegetation that are dis- 
turbed are revegetated as soon as 
feasible. 

(3) An accessway which does not meet 
(2)(A) and (B) of this Paragraph shall 
be permitted only if it meets a public 
purpose or need which cannot otherwise 
be met and it meets (2)(C) of this Para- 
graph. Public fishing piers shall not be 
deemed to be prohibited by this Rule, 
provided all other applicable standards 
are met. 

(4) In order to avoid weakening the protec- 
tive nature of primary and frontal dunes 
a structural accessway (such as a 
"Hatteras ramp") should be provided 
for any off-road vehicle (ORV) or 
emergency vehicle access. Such 
accessways should be no greater than 
ten feet in width and should be con- 
structed of wooden sections fastened 
together over the length of the affected 
dune area. 

(d) Construction Standards. New construction 
and substantial improvements (increases of 50 
percent or more in value on square footage) to 
existing construction shall compK' with the follow- 
ing standards: 

(1) In order to avoid unreasonable danger 
to life and property, all development 
shall be designed and placed so as to 
minimize damage due to fluctuations in 
ground elevation and wave action in a 
100 year stonn. Any building construct- 
ed within the ocean hazard area shall 
comply with the North Carolina Build- 
ing Code including the Coastal and 
Flood Plain Construction Standards. 
Chapter 34. Volume I or Section 39, 
Volume 1-B and the local flood damage 
prevention ordinance as required by the 
National Flood Insurance Program. If 
any provision of the building code or a 
flood damage prevention ordinance is 
inconsistent with any of the following 
AEC standards, the more restrictive 
provision shall control. 

(2) All structures in the ocean hazard area 
shall be on pilings not less than eight 
inches in diameter if round or eight 
inches to a side if square. 

(3) All pilings shall have a tip penetration 
greater than eight feet below the lowest 
ground elevation under the structure. 
For those structures so located on the 



1519 



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November 2, 1992 



PROPOSED RULES 



primary dune or nearer to the ocean, 
the pilings must extend to five feet 
below mean sea level. 
(4) All foundations shall be adequately 
designed to be stable during applicable 
fluctuations in ground elevation and 
wave forces during a 100 year storm. 
Cantilevered decks and walkways shall 
meet this standard or shall be designed 
to break-away without structural dam- 
age to the main structure. 

Statutory Authority G.S. 1 13A-107(a); 
]]3A-] 07(b); 1 13A-113(b)(6)a. .h.,d.; U3A-124. 

nlotice is hereby given in accordance with G.S. 
I50B-21.2 that the Environment, Heath, and 
Natural Resources - Radiation Protection Commis- 
sion intends to adopt rules cited as 15A NCA C 1 1 
.1501 - .1517. 

1 he proposed effective date of this action is May 
1, 1993. 

1 he public hearings will be conducted at 1:00 
p.m. and 7:00 p.m. on November 17, 1992 at the 
Division of Radiation Protection, 3825 Barrett 
Drive. Room 101, Raleigh, NC 27609. 

Jxeason for Proposed Actions: These Rules are 
necessary to meet the requirements in G.S. 
104E-10. 3 and 104E-27. These Rules provide for 
the licensing of radioactive waste generators ' 
access to any low-level radioactive waste disposal 
facility located in the state. These Rules also 
require generators of low-level radioactive waste 
to implement best management practices and 
reduce waste volume to the extent technologically 
and economically feasible. 

(comment Procedures: Written comments should 
he submitted to the Division of Radiation Protec- 
tion. P.O. Bo.x 27687, Raleigh, NC 27611-7687. 
Written comments will be accepted until December 
17, 1992. Any perscm requiring information 
concerning the proposed rules should contact 
Richard M. Fry, Deputy Director. at 
919/571-4141 . Persons wishing to speak at the 
hearini; are encouraged to notify Mr. Fry at least 
three days prior to the hearing. 



CHAPTER 11 - RADIATION PROTECTION 

SECTION .1500 - LICENSES FOR 
DISPOSAL SITE ACCESS 

.1501 PURPOSE AND SCOPE 

(a) This Section establishes the procedures, 
criteria, and terms and conditions upon which the 
agency issues licenses authorizing access to a 
low-level radioactive waste disposal facility for 
the purpose of low-level radioactive waste dispos- 
aL 

(b) No person shall transfer waste to a disposal 
facility located in North Carolina unless such 
person holds a valid site access license issued by 
the agency pursuant to the rules in this Section. 

(c) The agency shall issue a site access license 
to an applicant only after the agency determines 
that the applicant: 

(1) has implemented best management 
practices. including prevention, 
minimization, reduction, segregation 
and hold-for-decay storage as required 
by the rules in this Section; and 

(2) is reducing waste volume to the extent 
technologically and economically feasi- 
ble. 

(d) Site access licenses issued pursuant to the 
rules in this Section shall authorize access only to 
disposal facilities operated pursuant to the provi- 
sions of G.S. 104G and licensed pursuant to the 
rules in Section . 1200 of this Chapter. Upon 
issuance of a site access license pursuant to the 
rules in this Section, the agency shall certify to the 
North Carolina Low-Level Radioactive Waste 
Management Authority that a generator is reducing 
waste volume to the extent technologically and 
economically feasible. 

(e) Nothing in this Section or in site access 
licenses issued pursuant to this Section shall 
relieve any person from responsibility for comply- 
ing with any applicable requirements in the other 
sections of this Chapter or in state and federal laws 
and regulations, including, but not limited to, 
those of the U.S. Department of Transportation, 
the U.S. Nuclear Regulatory Commission, and the 
North Carolina Department of Transportation. 

(f) The rules m this Section are applicable to 
generators, collectors and processors of low-level 
radioactive waste which will be transferred to a 
low-level radioactive waste disposal facility 
located within the State of North Carolina for 
disposal. 

(g) The rules in this Section are applicable to 
those waste forms deemed acceptable according to 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1520 



PROPOSED RULES 



the North Carolina low-level radioactive disposal 
facilit\' license as issued by the agency. The rules 
in this Section shall not be construed to authorize 
the disposal of any waste that js not authorized for 
disposal under Section . 1200 of this Chapter. 

Stiiiutory Amiuiriry G.S. 104E-10.3: 104E-27. 

.1502 DEFINITIONS 

(a) As used in this Section, the following defini- 
tions shall apply. 



(1) 



{21 



ill 



14] 



i5l 



(6] 



ill 



"Carrier" means any person transport- 
ing radioactive u'aste in North Carolina 
for the purpose of disposal at a 
low-le\'el radioactive waste disposal 
facility located in North Carolina. 
"Collector" means any person who 
collects or consolidates prepared pack- 
ages of low-lesel radioactive waste 
from another site access licensee and 
arranges for the transportation of such 
waste to a disposal facility located in 
North Carolina. 

"Generator" means any person who 
produces low-le\el radioactive waste 
which will be transferred for disposal at 
a lovv'-le\el radioactive waste disposal 
facility located in North Carolina, 
including indirect transfer through 
collectors or processors. 
"Low-le\'el radioactive waste" means 



low-level radioactive waste as defined 
in Rule .1202 of this Chapter. 
"Low-Level radioactive waste disposal 
facility" means any facility operated 
pursuant to G.S. 104G for the purpose 
of low-level radioactive waste disposal 
and licensed pursuant to Section . 1200 
of this Chapter. 
"Manifest" means the document used 



for identif\'ing the quantity, composi- 
tion. origin and destination of low-level 



iSi 



radioactive waste during its transport to 
a disposal facility. 

"Processor" means any person who 
recei\es lov'.-level radioacti\e v.'aste or 
radioacti\'ely contaminated material 
from another site access licensee for the 
purpose of repackaging or treatment, 
including, but not limited to. compac- 
tion, incineration, decontamination or 
resource recovers', prior to transfer to a 
disposal facility located in North Caro- 
lina. 
"Radioactive material license" means 



(9] 



021 



iUl 



(15) 



any license issued by the agency, an 
agreement state or the U^ S^ Nuclear 
Regulatory Commission which authoriz- 
es activities which may generate waste. 
"Shipment" means the total low-level 
radioactive waste transported in a single 
conveyance as defined in 49 CFR ^ 
173.403. 

"Shipper" means any person who holds 
a valid site access license and prepares 
low-level radioactive waste for trans- 
port to a low-le\'el radioactive waste 
disposal facility located in North Caro- 
lina. 

"Site access license" means a license 
issued pursuant to the rules in this 
Section authorizing the licensee to have 
access for the purpose of disposal to a 
low-level radioactive waste disposal 
facility located in North Carolina. 
"Solidifying" means that process by 
which liquid wastes or wastes contain- 
ing liquids are converted into an accept- 
able stable form as defined m Rule 
.0426 of this Chapter. 
"Southeast Compact" means the South- 
east Interstate Low-Level Radioactive 
Waste Management Compact as set out 
in G.S. 104F. 

"Stabilizing" means that process by 
which radioactive wastes are prepared 
to meet the stability requirements as 
defined m Rule .0426 of this Chapter. 
"Transport" means the movement of 
low-level radioactive waste in North 
Carolina for the purpose of disposal at 
a low-level radioactive waste disposal 
facility located in North Carolina. 
"Waste" means "lov,'-le\el radioactix'e 
waste". 



(b) Definitions of certain other words and 
phrases used in this Section are set forth in other 
sections of this Chapter. 



Statutary Authority G.S. 104E-5; 104E-7; 
W4E-10.3: 104E-27. 

.1503 LICENSE REQUIRED 

(a) No person shall ship or transfer waste to a 
lov.'-level radioactive waste disposal facility located 
in North Carolina, except as authorized by a valid 
site access license issued, prior to shipment or 
transfer, pursuant to the rules in this Section. 

(b) A separate site access license is required for 
each generator, collector and processor facility 



1521 



7:15 



SORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



from which waste, which will be transferred to a 
low-level radioactive waste disposal facility located 
in North Carolina, is shipped. 

(c) The agency shall not issue any site access 
license authorizing disposal of waste generated 
outside the Southeast Compact region unless: 

( 1) the U.S. Nuclear Regulatory Commis- 
sion has granted emergency access as 
authorized under the Low-Level Radio- 
active Waste Policy Amendments Act 
of 1985, provided that access shall be 
limited to that granted by the U.S. 
Nuclear Regulatory Commission and 
complies with Rule . 1517 of this Sec- 
tion; or 

(2) access has been granted by the South- 
east Compact Commission ]n accor- 
dance with provisions of G.S. 104F and 
complies with all requirements of this 
Section. 

Statutory Authority G.S. 104E-10.3: 104E-27. 

.1504 APPLICATION FOR SITE ACCESS 
LICENSE: GENERAL 
REQUIREMENTS 

(a) Each applicant for a site access license shall 
file a completed agency application form. The 
completed application shall include the following 
information and other information required by the 
agency: 

(1 ) name, address, telephone number, and 
description of the business of the appli- 
cant; 

(2) a list of radioactive material licenses 
issued to the applicant along with the 
name of the regulatory agency that 
issued each license; 

(3) name, address and telephone number of 
the facility for which a site access 
license is requested; 

(4) name and telephone number of the 
person who is responsible for the 
applicant's waste management plan; 

(5) organization chart which depicts the 
relationship among senior level manage- 
ment, managers of waste generating and 
waste management activities, and the 
person identified in Subparagraph (a)(4) 
of this Rule; 

(6) general transportation routing informa- 
tion, within the State of North Caroli- 



na^ of waste shipments, including but 
not limited to waste transported for 
processing and waste transported for 



disposal at the North Carolina disposal 
facility; and 
(7) certifications and additional information 
required by other applicable rules in 
this Section. 

(b) The agency may at any time after the filing 
of the application, and before the expiration of a 
site access license, require further statements and 
information to enable the agency to determine 
whether a site access license should be granted, 
denied, modified, suspended or revoked. 

(c) Each application for a site access license 
shall be signed by the manager of the facility for 
which the site access license is re quested or by his 
designee, provided that such designation shall be 
confirmed to the agency, in writing, by the manag- 
er. 

(d) Except as provided in Paragraph (e) of this 
Rule, applications and documents submitted to the 
agency are public documents and may be made 
available for public inspection. 

(e) Notwithstanding Paragraph (d) of this Rule, 
the applicant may request that specific parts of the 
a pplication and supporting documents which 
contain proprietary information be withheld from 
public inspection. Such request shall include a 
detailed justification for each part which is pro- 
posed to be withheld. The agency may approve 
such requests in whole or in part, if the agency 
determines that public disclosure is not required m 
the public interest and would adversely affect the 
interest of the applicant. All agency approvals 
shall be made in writing and shall be available for 
public inspection. 

(f) The applicant shall submit the application for 
a site access license required by this Section to the 
agency at the address in Rule .01 1 1 of this Chap- 
ter. 

(g) If the facility is not located in North Caroli- 
na, the applicant shall also submit a copy of the 
application to the state radiation protection regula- 
tory agency irii or if none, to such other state 
agency designated by the state in which the facility 
is located. 

(h) If the facility is licensed by the U.S. Nuclear 
Regulatory Commission, the applicant shall also 
submit a copy of the application to the U.S. 
Nuclear Regulatory Commission. 

Statutory Authority G.S. 104E-10.3; 104E-27: 
104E-29. 

.1505 APPLICATION FOR SITE ACCESS 
LICENSE - WASTE GENERATORS 

If the applicant for a site access license is a waste 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1522 



PROPOSED RULES 



generator, the application required in Rule . 1504 
of this Section shall include the following addition- 
al information: 



I 1 1 general description of the activities which 
invohe the production of waste along 
with the radioacti\-e material license 
numbers under which such activities are 
conducted: 

(2) general description of existing on-site 
waste management, to include facilities. 



M 



(b) 



ic) 



(di 



(i) 



ia) 



iii 



(M 



(a) 



Lbi 



equipment, procedures and programs for: 
limiting the production of contaminated 
material and contained radioacti\it\' 
which must be managed, and the esti- 
mated annual impact on the amount of 
material and radioactivit\': 
reducing the \olume and contained 
radioacti\ it\- of waste which v.ill be 
shipped, or transferred to collectors for 
shipment, to off-site disposal facilities, 
and the estimated annual impact on the 
Nolume and contained radioacti\ itv 
shipped or transferred: 
classif\ing. stabilizing. solidifv'ing 
liquids, packaging and monitoring 
waste prior to shipment or transfer to a 
collector for shipment to a disposal 
facility located in North Carolina: and 
qualit\' assurance and quality control: 
description of existing off-site waste 
management, to include: 
name, address, telephone number. t\'pe 
of processing and radioacti\'e material 
license number of each off-site proces- 
sor to which waste referenced in Sub- 
Item (2)(b) of this Rule will be shipped: 
and 

estimated annual impact on the \olume 
and contained radioacti\ it\- which will 
ultimately be shipped to a disposal 
facilitN' located in North Carolina: 
description of planned changes in on-site 
and off-site management described in 
Items (2) and (3) of this Rule, to include 
anticipated date for implementation and 
estimated annual impact on the volume 
and contained radioacti\ity of waste 
which will be disposed at a disposal 
facilit\- located in North Carolina: 
histor\' of off-site waste disposal for the 
past fi\e \ears. to include: 
identification of all disposal facilities 
which receised waste for disposal: and 
the total \olume and contained radioac- 
ti\ ity of waste disposed each year: 



(6) description of the projected waste which 
will be disposed at a disposal facility 
located in North Carolina for each of the 
next five years, to include the projected 
N'olume and contained radioactivity for 
Class A. Class B and Class C waste: 

(7) any regulatory notices of violation and 
corrective actions related to on-site and 
off-site management described in Items 
(2) and (3) of this Rule during the past 
five years: and 

(8) description of the applicant's notification 
and emergency response program in the 
event of accidents during transportation. 
This description shall include the qualifi- 
cations and responsibilities of the dri\er. 

Statutory Authority G.S. W4E-10.3: 104E-27. 

.1506 CONTENT OF APPLICATION FOR 
WASTE COLLECTORS 

If the applicant for a site access license is a waste 
collector, the application required in Rule . 1504 of 
this Section shall include the following additional 
information: 



( 1 ) radioactixe material license numbers 
under which waste collection activities 
are conducted: 

(2) complete description of the applicant's 
current waste collection and handling 
program, to include: 

(a) a list of the states in which waste col- 
lection seryices will be provided: 

fb) a list of the •waste processors and waste 
disposal facilities to which collected 
waste ma\' be shipped: 

(c) procedures for: 

waste collection at customer facilities: 



iiii 



(iii) 



handling. identif\'ing. accounting for. 

and segregating the waste shipped to 

waste processors and waste disposal 

facilities: 

ensuring that waste shipped to a waste 

disposal facility located in North 

Carolina is collected onl\ from per- 



(IV) 



(V] 
(vi) 



sons who hold a currently valid site 
access license issued pursuant to the 
rules in this Section: 
ensuring that packages, labels, \ehi- 
cles. placards, and radiation and 
contamination le\els comply with 
applicable state and federal regula- 
tions: 

quality assurance and qualit\ control: 
notifications and emergenc\ response 



1523 



7;/.5 



NORTH CAROLIXA REGISTER 



\ovemher 2. 1992 



PROPOSED RULES 



in the event of accidents during trans- 
portation, including the qualifications 
and responsibilities of the driver; 

(3) a list of the waste processing and dis- 
posal facilities to which collected waste 
was shipped during the past five years; 
and 

(4) any regulatory notices of violation and 
corrective actions related to on-site and 
off-site management described in Items 
(2) and (3) of this Rule during the past 
five years. 

Statutory Authority G.S. 104E-10.3; 104E-27. 

.1507 CONTENT OF APPLICATION FOR 
WASTE PROCESSORS 

If the applicant for a site access license [s a waste 
processor, the application required in Rule . 1504 
ot" this Section shall include the following addition- 
al information: 

( 1 ) the applicable information required by 
Rule . 1505 of this Section, if the waste 
processor is located within the Southeast 
Compact and generates waste which will 
be disposed at a disposal facility located 
in North Carolina; 

(2) a Hst of the states from which waste may 
be received for processing; 

(3) description of waste processing services 
and management, to include: 

(a) the radioactive material license numbers 
under which such activities are conduct- 
ed, 

(b) the types of waste processing services, 
description of the wastes which may be 
processed and the estimated impact of 
the processing on: 

(i) volume and contained radioactivity of 
processed waste which will be shipped 
to off-site disposal facilities; and 

(ii) suitability of processed waste for 
disposal; 

(c) procedures and program for: 

(i) handling, identifying, accounting for, 
and segregating waste attendant to 
processing and shipment to off-site 
waste disposal facilities: 

(ii) ensuring that processed waste shipped 
to a waste disposal facility located in 
North Carolina is waste generated by 
persons who hold a currently valid 
site access license issued pursuant to 
the rules In this Section; 

(iii) classifying, stabilizing, solidifying 



liquids, packaging and monitoring 
waste prior to shipment, or transfer to 
a collector or the generator for ship- 
ment, to a disposal facility located m 
North Carolina; 

(iv) preparing manifests and correlating 
manifests with the original manifests 
prepared by the waste generators for 
processed waste which will be dis- 
posed at a disposal facility located in 
North Carolina; 

(v) ensuring that packages, labels, and 
radiation and contamination levels 
comply with a pplicable state and 
federal regulations; and 

(vi) quality assurance and quality control; 

(4) a Hst of the waste disposal facilities to 
which processed waste was shipped 
during the past five years; 

(5) for each of the past five years, a sum- 
mai-y of the volumes and types of waste 
processed and the resulting volumes of 
processed waste shipped off-site; 

(6) description of the applicant's notifica- 
tion and emergency response program 
in the event of accidents during trans- 
portation. This description shall include 
the qualifications and responsibilities of 
the driver; and 

(7) any regulatory notices of violation and 
corrective actions related to on-site and 
off-site management described in Items 
(2) and (3) of this Rule during the past 
five years. 

Statutory Authority G.S. 104E-10.3: 104E-27. 

.1508 CERTIFICATION OF COMPLIANCE 
WITH APPLICABLE 
REQUIREMENTS 

(a) Each shipper who prepares packages of 
waste for shipment to a disposal facility located in 
North Carolina shall certify that: 

(1 ) the packages and contained waste com- 
ply fully with all disposal site restric- 
tions and acceptance criteria and with 
all applicable state and federal laws and 
regulations including, but not limited 
to. those governing manifests, labeling, 
radiation and contamination levels and 
package design and performance; and 

(2) the prior notification required by Rule 
. 1509 ot" this Section will be made for 
each shipment of waste. 

(b) Each shipper who transports packages of 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1524 



PROPOSED RULES 



waste, using shipper-controlled drivers or \ehicles. 
to a disposal facility located in North Carolina 
shall certif)' that such transportation, transport 
\ehicles. placarding, and driver training will 
compK' fully ^ith all applicable disposal facility 
license conditions and acceptance criteria, and state 
and federal laws and regulations. 

(ci The certification requirements specified in 
this Rule shall be in v>Titten form and shall accom- 
pan\' each separate shipment of waste shipped to 
the North Carolina disposal facility. 

(d) The disposal facility operator shall provide 
to the agency for each shipment of accepted waste 
at the North Carolina disposal facility a copy of 
the \\ ritten certification that accompanied each 
shipment of waste. 

Srarurory Authorirx G.S. 104E-10.3; 104E-27. 

.1509 PRIOR NOTIFICATION FOR WASTE 
SfflPMENTS 

(a) Prior to each shipment of waste to a disposal 
facilit\ located in North Carolina, both the agency 
and the facility operator shall recei\'e written 
notice from the shipper no less than 72 hours and 
no earlier than 30 days before the expected date of 
arrival of the shipment at the disposal facility. 

(b) The prior notification required in Paragraph 
(a) of this Rule shall be filed on a "Radioacti\'e 
Waste Shipment Prior Notification Form", or 
appropriate form(s) appro\'ed by the agency and 
which shall include the following: 

1 1 ) name and address of shipper: 

(2) person responsible for waste shipment, 
including: 

(A) name 

(B) title: and 

(C) telephone number: 

(3) site access license number of the ship- 
per and the site access license number 
of any other generator, processor, or 
collector invoh'ed with the waste: 

(4i shipment identification number originat- 
ed by and obtained from the disposal 
facility operator: 

1 5 1 location from v.hich v.aste will be 

shipped: 

(6) name and address of consignee: 

(7) scheduled date of departure of ship- 
ment: 

(8) estimated date of arrival of shipment: 

(9) carrier: 

(10) trailer number and owner, if available: 

(11) type of transport vehicle: 
( I2i transportation route: 



(13) type of package or cask model number: 

( 14) type of container in cask: 

( 15) package or cask specification: 

( 16) complete waste description: 

( 17) physical and chemical form: 

(18) total number of packages: 

( 19) prominent radionuclides: 

(20) total curies: 

(21 ) waste class and stability: 

(22) total cubic feet; 

(23) U.S. Department of Transportation Sub 
Type j^ such as Low Specific Activity: 

(24) U.S. Department of Transportation 
Identification Number; 

(25) indication of highway route controlled 
quantity; 

(26) such other information as the agency 
may require; 

(27) signature block certif\'ing validity of 
information provided; and 

(28) signature block for consignee. 

(c) The shipper shall immediately notify' the 
agency and the facility operator of any cancella- 
tions or changes in the prior notification form 
which may occur immediately prior to the ship- 
ment departing from the facility enroute to the 
disposal facility; including, but not limited to the 
date of arrival, total number of packages, curie 
content, volume, or waste classification. This 
notification may be transmitted via documented 
telephone conversation, or the use of telecopy or 
facsimile machine. 

(d) No shipment of waste to a disposal facility in 
North Carolina shall commence until the shipper 
has received and documented confirmation from 
the operator of the disposal facility that the infor- 
mation pro\ ided on the prior notification form and 
any changes, as identified by the requirements in 
Paragraph (c) of this Rule, comply vv'ith the condi- 
tions of the facility operator's license. 

(e) With each separate shipment of waste to the 
North Carolina disposal facility the shipper shall 
provide to the carrier a copy of the prior notifica- 
tion form required by Paragraph (a) of this Rule 
for deliver\' to the disposal facility operator. This 
copy shall reflect any changes made pursuant to 
Paragraph (c) of this Rule. 

(f) Following the acceptance of each shipment of 
waste at the North Carolina disposal facility, the 
disposal facility operator shall sign the prior 
notification form and submit signed copies to the 
agency and to the shipper within one v,eek after 
acceptance. 

(g) The prior notification form required in this 
Rule is in addition to the manifest requirements in 



152> 



7:15 



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\ovember 2, 1992 



PROPOSED RULES 



Rule .1510 of this Section. 



Sruriitory Authority G.S. 104E-10.3; 104E-27. 

.1510 RADIOACTIVE SfflPMENT 
MANIFEST 

(a) A manifest completed by the shipper, on 
forms supplied by the disposal facility operator, 
shall accompany each shipment of waste to a 
disposal facility located in North Carolina and 
shall include all information and certifications 
required by the rules in this Chapter and the 
disposal facility operator's license conditions. 

(b) If the shipper is a waste processor, the 
manifest required in Paragraph (a) of this Rule 
shall reflect consolidation of the original waste 
generator manifests related to the waste shipment 
except that such copies are not required and also. 
if included with the shipment, for waste generated 
by the waste processor; provided however, that the 
manifest shall be accompanied by a certification 
that the waste generated by the waste processor is 
appropriate for disposal at a disposal facility 
located in North Carolina. 

Statutory Authority G.S. W4E-W.3; W4E-27. 

.1511 FINANCIAL QUALIFICATIONS AND 
REQUIREMENTS 

(a) The purpose of this Rule is to defray expens- 
es incurred by the State of North Carolina for any 
project or activity for emergency response to and 
decontamination of radioactive waste transportation 
accidents involving the possible or actual release of 
radioactive materials and to defray the costs to the 
State for performing or supervising decontamina- 
tion and to otherwise protect the public health and 
safety . 

(b) The agency shall not issue a ske access 
license until the applicant has satisfied the surety 
bond or insurance requirements m this Rule. 

(c) The applicant must deposit and maintain with 
the agency a minimum cash or coiforate surety 
bond in the amount of five hundred thousand 
dollars ($500.000). or provide the agency satisfac- 
tory evidence of liability insurance or provide a 
certificate of insurance as an added insured on a 
policy held by a site access licensee that satisfies 
the insurance requirements of this Rule. 

( 1 ) For purposes of the rules in this Sec- 
tion, liability insurance shall mean 
coverage of one million ($1 .000.000) 
per occurrence and five million 
($5.000.000) aggregate: 

(2) Any insurance carried pursuant to 



Section .2210 of Title 42 of the United 
States Code and K) CFR MO shall be 
sufficient to meet the requirements of 
this Rule; and 
(3) Liability insurance shall be specific to 
the packaging, transportation, storage 
and delivery of radioactive waste. 

(d) An applicant maintaining liability insurance 
for the pui'pose of this Rule shall provide to the 
agency a certificate of insurance from their insurer 
indicating the policy number, limits of liability, 
policy date and specific coverage for packaging, 
transportation, storage and delivery of radioactive 
waste. 

(e) A cash or corporate surety bond previously 
posted for the purposes of this Rule shall be 
returned to the site access licensee upon written 
notification to the agency of his intention to cease 
shipments of radioactive waste to the North Caroli- 
na disposal facility, provided such bond shall be 
returned only after the last such shipment has been 
accepted safely at the disposal facility. 

(f) Agencies of the State of North Carolina shall 
not be subject to the requirements of this Rule. 

(g) TTie agency may require a greater amount of 
surety bond or liability insurance than stated in 
Paragraph (c) of this Rule. 

(h) The indemnitor on such a bond or an insur- 
ance company for any purpose of this Rule shall 
be licensed to do business in tlie State of North 
Carolina. 



Statutory Authority G.S. 104E-10.3; 104E-27. 

.1512 WASTE MANAGEMENT AND 
REDUCTION REQUIREMENTS 

(a) The purpose of this Rule is to define those 
elements which may constitute a sound waste 
management program and to require each applicant 
for a site access license or renewal of an existing 
site access license to explain how each element is 
implemented or. if not implemented, why its 
omission is justified. 

(b) Those elements and sub-elements which 
constitute sound waste management practices 
include, but are not limited to. the following: 

(1 ) waste avoidance 

(A) process controls 

(B) training 

(C) material selection 

(D) leak prevention 

(E) segregation 

(F) recycling 

(G) reduction in size of facility contami- 
nated areas 



7:15 



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November 2, 1992 



1526 



PROPOSED RULES 



(H) radionuclide selection 
(2) volume or activity reduction 

(A) storage for decay 



(i) waste containing no radionuclides 
with a radioactive half-life ex- 
ceeding 90 days 

(I) hold for decay of contained 
radioactivity and subsequent 
disposal as non low-le\el 
radioactive waste 

(II) hold for partial decay 

(ii) waste containing radionuclides 
with a radioactive half-life ex- 
ceeding 90 days ; hold for partial 
decay 

(B) decontamination of equipment, materi- 
als or other items 

(U on-site 
(ii) off-site 

(C) sorting 

(i) on-site 
(ii) off-site 

(D) compaction 
(ii on-site 

(I) super compaction 

(II) other compaction 

(ii) off-site super compaction 

(E) incineration 
(jj on-site 
(ii) off-site. 

(c) The applicant shall indicate the extent to 
which each of the elements and sub-elements listed 
in Paragraph (b) of this Rule and any other waste 
management practices are being employed in the 
applicant's waste management program. 

(d) For each element and sub-element listed in 
Paragraph lb) that js not employed in the 
applicant's waste management program, the appli- 
cant shall provide a justification for its omission 
which shall include a schedule for implementation. 
if future implementation is planned. The justifica- 
tion shall include an explanation of whether or not 
waste appropriate for such element or sub-element 
is generated by the applicant. 

Statuion- Authority G.S. 104E-I0.3: 104E-27. 

.1513 ISSUANCE AND EXPIRATION OF 
SITE ACCESS LICENSES 

(a) The agency will issue a site access license 
only after the following determinations are made 
and upon agency certification to the North Caroli- 
na Low-Le\'el Radioactive Waste .Management 
.Authority that the generator is reducing waste 
\olume to tlie extent technologically and economi- 



cally feasible: 

(1 ) The applicant has submitted a license 
application which adequately demon- 
strates the applicant's ability to satisfy 
all requirements In the rules of this 
Section; 

(2) The applicant has a waste management 
program which incorporates best man- 
agement practices, including preven- 
tion, minimization, reduction, segrega- 
tion, and hold for decay storage, as 
provided m Rule .1512 of this Section: 

(3) The applicant is reducing waste volume 
and contained radioactivity to the extent 
technologically and economically feasi- 
ble, including off-site processing, be- 
fore waste is disposed at a disposal 
facility located in North Carolina, or 
has made a commitment to institute 
such methods in accordance with a 
timetable specifically approved by the 
agency: 

(4) The applicant has filed the bonds, 
insurance or other security with the 
agency as required in Rule .1511 of this 
Section: and 

(5) The applicant will ship waste to a dis- 
posal facility located in North Carolina 
only when such waste is generated in 
the Southeast Compact region, except 
as provided otherwise for waste gener- 
ated by waste processors and authorized 
pursuant to Item ( 1) of Rule . 1507 of 
this Section or as provided in Rule 
.1503(c) of this Section. 

(h) Except as provided in Rules . 1513 and 
.1517 of this Section, a site access license shall be 



effective for a period of five years subject to 
payment of applicable fees imposed by the Rules 
in Section . 1 100 of this Chapter. 

(c) Notwithstanding the provisions of Paragraph 
(b) of this Rule, any site access license fs subject 
to modification, revocation or suspension in 
accordance with provisions of Rule .1516 of this 
Section. 

(d) The licensee shall apply for amendment of 
the site access license in accordance with Rule 
.1515 of this Section prior to making changes fn 
the waste management program described in the 
license application which would diminish the 
effectiveness of the waste management program, 
for example, a change resulting in an increase of 
waste volume and radiation exposure. 

(e) Should any information required by Para- 
graph (a) of Rule . 1 504 change, the licensee shall 



1527 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



notify the agency of such changes in writing no 
later than 60 days after the change and file an 
application for amendment, if so directed by the 
agency. 

Statutory Authority G.S. 104E-10.3; 104E-27. 

.1514 SITE ACCESS LICENSE RENEWAL 

(a) An application for renewal of a site access 
license shall be filed in accordance with Rule 
.1504 of this Section. 

(b) When a site access licensee has filed an 
application in proper form for renewal not less 
than 30 days prior to expiration of his existing 
license, the existing site access license shall not 
expire until the agency has taken final action on 
the application. 

(c) When a site access licensee files an applica- 
tion for renewal less than 30 days prior to expira- 
tion of his existing site access license, the licensee 
shall not have access to a disposal facility located 
in North Carolina after the expiration date until the 
agency has issued final approval of the application. 

(d) As a precondition for renewal of a site 
access license, the applicant shall satisfy the 
provisions of Rule .1512 of this Section. 

Statutory Authority G.S. 104E-10.3: 104E-27. 

.1515 SITE ACCESS LICENSE 
AMENDMENT 

(a) An application for amendment of a site 
access license shall be filed in accordance with 
Rule .1504 of this Section and shall specify the 
manner in which the licensee desires the site 
access license to be amended and the grounds for 
such amendment, along with any other supporting 
information which may be required by the agency. 

(b) In determining whether an amendment to a 
site access license will be approved, the agency 
shall apply the criteria set forth in Rule .1513 of 
this Section. 

Statutory Authority G.S. 104E-W.3; 104E-27. 

.1516 MODIFICATION. REVOCATION, 

AND TERMINATION OF LICENSES 

Site access licenses are subject to modification, 
suspension, revocation and termination in accor- 
dance with the provisions of Rule .0344 of this 
Chapter. 

Statutory Authority G.S. I04E-10.3; 104E-27. 

.1517 TEMPORARY OR EMERGENCY 



ACCESS 

(a) The agency may grant temporary or emergen- 
cy access to a disposal facility located m North 
Carolina to a generator in the Southeast Compact 
region, only if 

(1) access is necessary in order to eliminate 
an immediate and serious threat to the 
public health and safety; 
the determination is made that the threat 



12] 



£3} 



cannot be mitigated by any other alter- 
native consistent with the public health 
and safety, including ceasing the activi- 
ties that generate the waste; and 
the waste form and content of the waste 



to be disposed, meets all acceptability 
requirements as stated in the facility 
operator's license. 

(b) The agency may grant temporary or emer- 
gency access to a disposal facility located in North 
Carolina to a generator outside the Southeast 
Compact region, only after: 

(1) Such access has been granted by the 
U.S. Nuclear Regulatory Commission 
in accordance with applicable provi- 
sions of federal regulations and of the 
Low-Level Radioactive Waste Policy 
Amendments Act of 1985; and 

(2) The agency has reviewed and concurs 
with the U.S. Nuclear Regulatory 
Commission's decision to grant tempo- 
rary or emergency access. 

(c) Temporary or emergency access to a dispos- 
al facility located in North Carolina is subject to 
the applicable site access licensing requirements in 
this Section and to the fee requirements in Section 
■ 1100 of this Chapter. 

(d) Notwithstanding the provisions of Rule 
.1513 of this Section, a site access license, autho- 
rizing temporary or emergency access, shall be 
effective only for the period of time and the 
specific waste for which temporary or emergency 
access was granted. 

Statutory Authority G.S. 104E-10.3; 104E-27. 

TITLE 21 - OCCUPATIONAL 
LICENSING BOARD 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of 
Nursing intends to amend rule cited as 21 NCAC 
36 .0220. 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1528 



PROPOSED RULES 



J he proposed effective date of this action is 
February 1. 1993. 

1 he public hearing will be conducted at 1:00 
p.m. on December 10. 1992 at the North Carolina 
Board of Nursing Office. 3724 National Drive, 
Suite 201. Rcdeigh. North Carolina 27612. 

tveason for Proposed Action: To clarify, 
strengthen and update in order to be consistent 
with the current policies and procedures. 

C^onv7ient Procedures: Any person wishing to 
present oral testimony relevant to proposed rules 
may register at the door before the hearing begins 
and present hearing officer with a written copy of 
testimony. Written statements may be submitted 
directed five days prior to the hearing date to the 
North Carolina Board of Nursing. P. O. Bo.x 
2129. Raleigh. NC 27602-2129. 

CRAPTER 36 - BOARD OF NXTISENG 

SECTION .0200 - LICENSURE 

.0220 REFRESHER COURSE 

(a) The curriculum for a A refresher course 
must shall be designed for those persons. pre\ious- 
ly licensed, who are ineligible are not eligible for 
re-entn,' into nursing practice because they have 
the legal practice of nursing 



not been cngag;: 



allowed their license to lapse for five or more 



years . 

(Id) Satisfactorv completion of a Board-approved 
refresher course is required of the person who: 

(1) requests reactivation of an inactive 
license and who has not held an acti\'e 
license for fi\'e or more years; 

(2) requests reinstatement of a lapsed li- 
cense and who has not held an acti\'e 
license for fi\e or more years; ef 

(3) requests reinstatement of a lapsed H; 
cense and who has not held an active 
license for fi\e or more years; or 

(4)f3-) is directed by the Board to complete 

such a course when the Board takes 

action as authorized in G.S. 90- 

171.37. 

(c) Application for approval of a refresher 

course mu s t shall be completed and pre s ented 

submitted by the provider at least 90 days prior to 

the expected date of enrollment and mu s t shall 



include evidence of complying with the rules for 
refresher courses. Board approval must shall be 
secured prior to the enrollment of students. 
Provider approval will be granted for a period of 
time not to exceed three five years. However, any 
changes in faculty, curriculum, or clinical facilities 
must shall be approved by the Board prior to 
implementation. 

(d) The Board will make site visits if necessarv'. 
A decision on an application to offer a refresher 
course will be given within 30 days following 
receipt of the application. 

(e) The provider of a Board-approved refresher 
course must shall be a Board-approved, post- 
secondarv' educational institution, ©f a Board- 
approved health care institution, or other agency 
acceptable to the Board . 

(f) Administrative responsibility for developing 
and implementing the course mu s t shall be vested 
in a registered nurse director. 

(g) Instructors in the course mu s t shall be 
directly accountable to the nursing director. The 
director shall have had at least one year prior 
teaching experience preparing individuals for LPN 
or RN licensure at the post-secondary level or in 
a nursing staff development position . The director 
and each instructor must shall : 

(1) hold a current North Carolina license to 
practice nursing as a registered nurse; 

(2) hold a baccalaureate or higher degree; 
and 

(3) have had at least two years experience 
in direct patient nursing practice as an 
RN. r^iftd 

f+) demonstrate an up to date knowledge of 

clinical nursing. 
(h) Proximity of the instructor to students is the 
major factor in determining faculty-student ratio 
for clinical learning experiences. In no case shall 
this ratio exceed 1 :10. 
(i) Course objectives must be stated which: 

(1) show relationships between theon,' and 
practice; and 

(2) indicate behaviors consistent with the 
competent ability to safely practice &f 
nursing. 

(j) The curriculum for the R.N. Refresher 
Course must shall incorporate: 

(1) common medical-surgical conditions 
and management of common nursing 
problems associated with these condi- 
tions, including mental health principles 
associated with management of nursing 
problems; 
+3-t major change s in pattern s of health care 



1529 



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November 2, 1992 



PROPOSED RULES 



delivery and current trcnda in nursing 
education: 

(2)-f^ functions of the registered nurse ifi 
asae sa ing clienta' needs and planning 
individualized nursing earc; as defined 
in OS, 90-171.20 and 2i NCAC 
36.0221, .0224. .0225 and .0401; and 

£3}-f4) instruction in and opportunities to dem- 
onstrate wttlt confidence and — safety 
ability to safely practice nursing skills 
and knowledge in caring for clients 
with common medical-surgical prob- 
lems, 
(k) The curriculum for the L.P.N. Refresher 
Course mu s t shall incorporate: 

(1) common medical-surgical conditions 
and common nursing approaches to 
their management, including mental 
health principles: 

(5^ major changes in patterns of health care 

deliver^': 

(2)^ functions of the licensed practical 
nurs e, including the nurse's relation 
ship to the health care team; as defined 
in G^ 90-171.20 and 2i NCAC 
36.0221, .0225, and .0401; and 

£3}{4) instruction in and opportunity to dem- 
onstrate wrtlt confidence and — safety 
ability to safely practice nursing skills 
and knowledge in caring for clients 
with common medical-surgical prob- 
lems. 
(1) The course must shall include both theory 
and clinical instruction: 

(1) The R.N. Refresher Course must shall 
include at least 240 hours of instruc- 
tion, at least 120 of which mu s t shall 
consist of clinical learning experiences. 

(2) The L.P.N. Refresher Course must 
shall include at least 180 hours of in- 
struction, at least 90 of which must 
shall consists of clinical learning experi- 
ences. 

(m) Evaluation processes must shall be imple- 
mented which effectively measure: 

(1) knowledge and understanding of curric- 
ulum content; and 

(2) clarify individuals ability to administer 
provide safe nursing care with confi 
denee and s afety to clients with com- 
mon medical-surgical conditions. 

(n) Clinical resources must shall : 
( 1) be vt'illing and able to indicate m writ- 
ten contract their support and availabili- 
ty to provide the necessary clinical 



experiences; and 
(2) be approved by the Board of Nursing, 
(o) The application for approval of a refresher 
course must shall include: 

(1) course objectives, content outline and 
time allocation; 

(2) didactic and clinical learning experienc- 
es including teaching methodologies, 
and evaluation plans for measuring the 
registrant's abilities to practice nursing; 

£3) plan for evaluation of student compe- 
tencies and ability to practice safe 
nursing; 
(4)-f^ a faculty list which includes the director 
and all instructors and identifies their 
qualifications and their functions in 
teaching roles; and 
(5)-f4) clinical resource s to be used and the 
projected clinical schedule. 
(p) A course or combination of courses within a 
basic nursing curriculum may be considered a 
refresher course for re-entry into practice if: 

(1) such course or combination of courses 
equals or exceeds requirements for 
refresher courses; 

(2) such course or combination of courses 
is taught on a level commensurate with 
level of relicensure sought; and 

(3) the Board designee approves such 
course or combination of courses as a 
substitute for a refresher course. 

(q) Individuals, previously licensed in North 
Carolina, presently residing outside of North 
Carolina, may meet these requirements by success- 
fully completing a North Carolina approved re- 
fresher course completed in another state or 
country. Agencies desiring approval for conduct- 
ing refresher courses shall submit applications per 
Paragraphs (c) through (p) of this Rule. Clinical 
experiences shall be in agencies approved by the 
comparable state/country agency to the Board of 
Nursing. The agency applying for refresher 
course approval shall submit evidence of the 
agency approval. 

(r) Individuals enrolled in refresher courses shall 
identify themselves as R.N. Refresher Student (RN 
RS) or LPN Refresher Student (LPN RS) consis- 
tent with the course level, after signatures on 
records or on name pins. 

(s) fq) Upon completion of a Board-approved 
refresher course, the course provider wttt shall 
furnish the Board with the names and North 
Carolina certificate numbers of those persons who 
have satisfactorily completed the course and are 
deemed competent safe to practice nursing at the 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1530 



PROPOSED RULES 



appropriate level of licensure on the Board sup 
plied form . 

iUfH Upon request, the The Board shall publi s h 
provide: 

(1) a list of approved providers; 

(2) and shall provide forms for applications 
for program approval; and 

(3) forms for verification of successful 
completion to all approved programs. 

Srarurory- Authoriry G.S. 90-171 .23(b)(3); 90- 
171.35: 90-171.36; 90-171.37. 

TITLE 23 - DEPARTMENT OF 
COM]VlUNIT\ COLLEGES 

lyotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Department of 
Community Colleges intends to adopt rules cited as 
23 NCAC lA .0001 - .0005, IB .0101 - .0108. 

1 he proposed effective date of this action is July 
1. 1993. 

1 he public hearing will be conducted at 10:30 
a.m. on November 18. 1992 at the Auditorium of 
the Highway Building. 11 South Wilmington Street, 
Raleigh. NC 27601-1494. 

tveason for Proposed Action: To standardize 
terms used throughout Title 23, to clarif- the 
mission of the department, to update and consoli- 
date similar rules, and to describe the 
department 's rulemaking procedure. 

(comment Procedures: Interested persons nui\ 
present statements either orally or in writing at the 
public hearing, or in writing delivered or mailed, 
addressed to: Clay Tee Mines or Bill Cole, De- 
partment of Conununity Colleges, 200 West Jones 
Street, Raleigh, NC 27603. Written comments 
must he received by 5:00 p.m. on December 2. 
1992. 

CHAPTER 1 - GENERAL PROVISIONS 

SUBCIL\PTER lA - ORGANIZATION 

.0001 DEFINITIONS 

The following terms shall ha\e the following 
meanings throughout this Title unless the context 
of a specific rule requires a different interpreta- 



tion: 
ill 



Credit Hours: 



M 



Icl 



M 



(4] 
i5j 



16) 



Lh 



Credit of one quarter hour is awarded 
for each 1 1 hours of "class work". 
Class work is lecture and other class- 



room instruction. Class work [s under 
the supervision of an instructor. 
Credit of one quarter hour is awarded 
for each 22 hours of "laboratory'" work. 
Laboratory involves demonstration by 
instructor, experimentation, and prac- 
tice by students. Laboratory is under 
the supervision of an instructor. 
Credit of one quarter hour [s awarded 
for each 33 hours of "manipulative 
laboratory or shop" or "clinical prac- 
tice". Manipulative laboratory, shop or 
clinical practice in\'olve development of 
manual skills and job proficiency. 
Manipulative laboratory or shop or 
clinical practice is under the supervision 
of an instructor. 

Credit of one quarter hour is awarded 
for 1 10 hours of "work experience" 
such as cooperative education, 
practicums. and internships. Work 
experience in\olves the development of 
job skills by providing the student with 
an employment situation that is directly 
related to. and coordinated with, the 
educational program. Student activity 
in v^ork experience js planned and 
coordinated by a college representative, 
and the employer is responsible for the 
control and supervision of the student 
on the job. 
Non-Credit Hours. Practice hours are 
non-credit hours, inxohe the student in a 
practice session to de\elop skills, and are 
under the supervision of an instructor. 
Full-time Student means a student en- 
rolled in 12 or more credit hours. 
Part-time Student means a student en- 
rolled in less than 12 credit hours. 
FTE means one full-time equivalent 
(FTE) student and represents one student 
enrolled in J_6 student membership hours 
per week for 1 1 \>,'eeks or 176 student 
membership hours per quarter. 
Average Annual FTE means that the 
average of the summer, fall, winter, and 
spring quarter FTE may be referred to as 
"four-quarter average" FTE. 
Budget Full-time Equivalent B/FTE. The 
B/FTE is used to prepare the operating 



1531 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



m 



m 



budget and to provide for an equitable 
distribution of the operating funds allo- 
cated by the State Board of Community 
Colleges, hereafter referred to as the 
State Board, to colleges. 
Equipment Full-time Equivalent (E/FTE). 
The E/FTE is used to prepare the equip- 
ment budget and to provide for an equita- 
ble distribution of the equipment funds 
allocated by the State Board to the colleg- 
es. 

Library Full-time Equivalent (L/FTE). 
The L/FTE js used to prepare the library 
budget to pro\'ide for an equitable distri- 
bution of librar>' funds that are allocated 
for the purchase of librar\' books and 
audiovisual materials. 
( 10) College means any institution established 
pursuant to Chapter 1 15D of the General 
Statutes except for Applied Technology 
Centers. 
Note: Substance of 23 NCAC 2D .0317 and 2E 
.0104 was incorporated into this Rule. 

Statutory- Authority G.S. 115D-5: 115D-54. 

.0002 MISSION OF THE DEPARTMENT 
OF COMMLTVIT^ COLLEGES 

The mission of the North Carolina Department of 

Community Colleges, hereafter referred to as the 

department, is to provide state level leadership and 

administration for the community college system 

through the System President as directed by the 

State Board. The department: 

(1) Provides to the State Board data and 

information for planning and policy 

development: 

Recommends to the State Board policies 
and strategies for carrying out policies; 
Administers policies and procedures 
adopted by the State Board and state 
statutes enacted by the General Assembly 
which affect the community college 
system: 

Represents the positions of the State 
Board to the General Assembly, the 
colleges of the community college system 
and other relevant publics: 
Provides technical and support services to 
community colleges to enhance their 
ability to deliver high quality educational 
services to the people of North Carolina; 
and 
(6) Coordinates with other educational sys- 



12] 



13) 



(4) 



(5) 



developing, implementing, and adminis- 
tering educational programs, policies, and 
procedures. 

Statutory Authority G.S. 115D-1: 115D-5. 

.0003 AUTHORITY 

(a) The State Board derives its authority for the 
community college system from Chapter 1 15D of 
the General Statutes and within that authority is 
granted power to organize and operate a depart- 
ment to provide state-level administration of the 
community college system. 

• (bj Each college within the system operates 
under the direction of a board of trustees, a corpo- 
rate body, which derives its authority from the law 
and rules of the State Board. 

(c) The System President is directed to carry out 
the rules of the State Board with respect to the 
department and colleges. 

(d) The System President is authorized by the 
State Board to issue administrative memoranda 
specifying the manner in which community colleg- 
es, as well as staff members of the department, are 
required to carry out policies of the State Board. 

(e) All power and authority vested by law in the 
State Board which relates to the internal adminis- 
tration, regulation, and go\'ernance of any individ- 
ual college of the community college system are 
hereby delegated to the board of trustees of such 
college with the following exceptions and reserva- 
tions: 

(1) Power or authority that is non-delegable 
as a matter of law or because of the 
nature of its exercise is not delegated; 

(2) Power or authority m matters of 
systemwide or inter-college importance 
is reserved for determination by the 
State Board; 

(3) The State Board reserves the right to 
rescind any power or authority as it 
deems necessary; and 

(4) More specifically, the governing au- 
thority of the State Board, which super- 
sedes local authority, pertains to the 
assurance of: 

(A) fiscal accountability. 

(B) program accountability, and 

(C) satisfaction of state priorities. 

Note: Substance of 23 NCAC 2A .0003 and 2B 
.0303 was incorporated into this Rule. 

Statutory Authority G.S. 115D-3: 115D-5: I15D- 
12; 115D-25. 



terns and state and federal agencies in 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1532 



PROPOSED RULES 



.0004 ORGANIZATION 

The department fulfills its administrative respon- 
sibilities through an organizational structure as 
determined by the System President. The System 
President may modify the organizational structure 
as needed. Copies of the organizational structure 
are a\'ailable m the: 

Office of the System President 

Department of Community Colleges 

200 West Jones Street 

Raleigh, NC 27603-1337 

Note: Substance of 23 NCAC 2A .0002 was 
incorporated into this Rule. 

Srafurory Authority G.S. 115D-3. 

.0005 STATE PLANNING 

The State Board shall review the priorities of the 
system and adopt a system-le\'el plan on at least a 
biennial basis, coordinated v^'ith the budget cycle. 
The plan shall take into account the current and 
future needs of the system and clarify' the priorities 
essential to carrying out the mission of the system. 
Note: Substance of 23 NCAC 2B .0204 was 
incorporated into this Rule. 

Statutory Authority G.S. 1 15D-5. 

SUBCHAPTER IB - PROCEDLUE 

SECTION .0100 - RULENLAKING 

.0101 PETITIONS 

(a) Any person wishing to request the adoption, 
amendment, or repeal of a rule made by the State 
Board, department, shall make a request in a 
petition addressed to: 



(6) the effect of the proposed rule on exist- 
ing practices in the area involved, 
including cost factors; and 

(7) the name and address of the petitioner. 

(c) The System President or designee shall 
determine, based on a study of the facts stated in 
the petition, whether the public interest will be 
served by granting the petition. The System 
President or designee shall consider all the con- 
tents of the submitted petition and any additional 
information deemed relevant. 

(d) Within 120 days of submission of the peti- 
tion, the State Board or designee shall render a 
decision. If the decision is to deny the petition. 
the System President or designee shall notif,' the 
petitioner in writing, stating the reason(s) for the 
denial. If the decision is to approve the petition, 
the State Board shall initiate a rulemaking proceed- 
ing by issuing a rulemaking notice, as provided in 
these Rules. 

Statutory Authority- G.S. 143B-10ij){2): 150B-20. 

.0102 NOTICE 

(a) Upon a determination to hold a rulemaking 
proceeding, either in response to a petition or 
otherwise, the System President or designee shall 
give notice to all interested parties in accordance 
with G.S. 150B-12. 

(b) Any person desiring information in addition 
to that provided in a particular rulemaking notice 
may contact: 

System President 

Department of Community Colleges 

200 West Jones Street 

Raleigh. NC 27603-1337. 

Statutor\- Authority- G.S. 143B-W: 150B-12.2. 



System President 

Department of Community Colleges 

200 West Jones Street 

Raleigh. NC 27603-1337. 



.0103 HEARING OFFICER 

The System President, or one or more hearing 
officers designated by the System President, shall 
be hearing officer(s) in a rulemaking hearing. 



Cb) The petition shall contain the following 
information: 



(1) 



iii 
(4) 



either a draft of the proposed rule or a 
summar\' of its contents; 
the statutory' authority for the agency to 
promulgate the rule; 
the reasons for the proposal; 
the effect of the proposed rule on exist- 
ing rules; 



(5) any data supporting the proposal; 



Statutory Authority G.S. 150B-2(2b). 

.0104 HEARLNGS 

(a) Any person desiring to make an oral presen- 
tation at a public hearing is encouraged to submit 
a written copy of the presentation to the hearing 
officer prior to or at the public hearing. 

(b) Presentations may not exceed 10 minutes 
unless, upon request made either before or at the 
hearing, the hearing officer grants an extension of 



1533 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



ill 
(4} 
i5j 



time. 

(c) Any person may file written comments after 
publication of a rulemaking notice up to and 
including the day of the hearing. The comments 
must clearly state the rule or proposed rule to 
which the comments are addressed and must also 
include the name and address of the person submit- 
ting them. Written comments must be sent to: 

System President 

Department of Community Colleges 

200 West Jones Street 

Raleigh. NC 27603-1337. 

(d) The hearing officer shall have control over 
the rulemaking hearing, including: 

( 1 ) the responsibility of having a record 

made of the hearing; 

extension of any time allotments: 

recognition of speakers; 

prevention of repetitious presentations. 

and 

general management of the hearing. 
The hearing officer shall ensure that each person 
attending the hearing is given a fair opportunity to 
present views, data, and comments. 

Statutory Authority G.S. 143B-10; 150B-21.2. 

.0105 STATEMENT OF REASONS FOR 
AND AGAINST RULEMAKING 
DECISION 

(a) Any person who desires from the System 
President a concise written statement of the princi- 
pal reasons for or against the decision by the State 
Board to adopt or reject a rule may, within 30 
days after adoption of a rule, submit a request to: 

System President 

Department of Community Colleges 

200 West Jones Street 

Raleigh. NC 27603-1337. 

(b) The request must be made m writing and 
must identify the rule or proposed rule involved. 

(c) The System President shall issue the state- 
ment of reason(s) against the State Board's deci- 
sion within 45 days after receipt of the request. 

Statutory Authority G.S. 150B-21.2. 

.0106 RECORD OF RULEMAKING 
PROCEEDINGS 

A record of aU rulemaking proceedings conduct- 
ed by the State Board, including responses to 



petitions for rulemaking, shall be maintained in the 
office of the System President and shall be avail- 
able for public inspection during regular office 
hours. This record shall include: 

(1) the original petition, if any; 

(2) the notice; 

(3) written presentation or submission; 

(4) any written minutes or audio tape of the 
oral hearing; and 

(5) a final draft of the adopted rule. 

Statutory Authority G.S. 150B-21.2. 

.0107 FEES 

A fee may be charged by the office of System 
President to persons requesting materials from 
hearing records. The fee will cover the cost of 
meeting the request. 

Statutory Authority G.S. 132-6. 

.0108 DECLARATORY RULINGS 

(a) The State Board shall have the power to 
make declaratory rulings. A declaratory ruling 
means the State Board's determination of the 
validity of a specific rule or whether a specific 
statute, rule or order applies to a given set of 
facts. All requests for declaratory rulings shall be 
by written petition and shall be submitted to: 

System President 

Department of Community Colleges 

200 West Jones Street 

Raleigh, NC 27603-1337. 

(b) Every request for a declaratory ruling must 
include the following information: 

the name and address of the petitioner; 
the statute or rule to which the question 
relates; 

a concise statement of the manner in 
which the petitioner is aggrieved by the 
rule or statute or its potential applica- 
tion to him; and 

the consequences of a failure to issue a 
declaratory ruling. 

(c) Whenever the State Board believes for good 
cause that the issuance of a declaratory ruling is 
undesirable, it shall refuse to issue one. Where a 
declaratory ruling is deemed inappropriate, the 
System President or designee shall notify in writ- 
ing the petitioner, stating reasons for the denial of 
a declaratory ruling. The State Board may refuse 
to consider the validity of a rule: 

(I) unless the petitioner shows that the 



m 

13} 



i^ 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1534 



PROPOSED RULES 



Lil 



circumstances are so changed since 

adoption of the rule that such a ruling 

would be warranted; 

unless the rulemaking record evidences 

a failure by the agency to consider 

specified relevant factors: 

unless circumstances stated in the re- 



quest or othervsise known to the agency 
show that a contested case hearing 
would presently be a ppropriate. 

(d) Where a declaratory ruling js deemed appro- 
priate, the State Board shall issue the ruling within 
60 days of the receipt of the petition. 

(e) A declarator\' ruling procedure may consist 
of written submissions, oral hearings, or such 
other procedure as may be deemed appropriate, in 
the discretion of the State Board or its designee in 
the particular case. 

(f) The System President or his designee may 
issue notice to persons who might be affected by 
the ruling that written comments ma\' be submitted 
or oral presentations recei\'ed at a scheduled 
hearing. 

(g) A record of aU declarator^- ruling proceed- 
ings shall be maintained by the System President 
and shall be available for public inspection during 
regular business hours. This record shall contain: 



m 
m 

ill 
ill 



the original request: 

the reason(s) for refusing to issue a 

ruling when the request is denied: 

all written memoranda and information 

submitted: 

an\' written minutes or audio tape or 

other record of the oral hearing: and 

a statement of the ruling when the 

request is granted. 



Staiutun- Authorin- G.S. 150B-4. 



iS otice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Department of 
Coimnunity Colleges intends to adopt rules cited as 
23 NCAC 2B .0104: 2C .0209 - .0210: amend 
rules cited as 23 NCAC 2B .0205. .0301 - .0302: 
2C .0101 - .0102. .0105 - .0107. .0202. .0204, 
.0207- .0208. .0301. .0304 - .0305, .0403. .0501 

- .0502. .0603 - .0604. .0701 - .0703: 2D .0101. 
.0103 - .0104. .0109. .0201 - .0205. .0301. .0303 

- .0305. .0307. .0309 - .0314. .0318 - .0321. 
.0323 - .0326. .0601 - .0602: 2E .0101 - .0102. 
.0104. .0201. .0203. .0305. .0401 - .0403. .0501. 
.0602: and repeal rules cited as 23 NCAC 2A 



.0001 -.0005: 2B .0101 - .0103. .0204, .0303: 2C 
.0103. .0205 - .0206, .0302 - .0303. .0401 - 
.0402, .0704 - .0705: 2D .0105. .0302. .0306. 
.0317. .0328. .0603 - .0604: 2E .0103. .0202. 
.0301 - .0304. .0502. .0603. 

I he proposed effective date of this action is July 
1. 1993. 

I he public hearing will be conducted at 10:30 
a.m. on November 18. 1992 at the Auditorium of 
the Highway Building, 11 South Wilmington Street, 
Raleigh, NC 27601 - 1494. 

IXeason for Proposed Action: 

23 NCAC 2A .0001 - .0005: 28 .0101 - .0103. 
.0204. .0303: 2C .0103. .0205 - .0206. .0302 - 
.0303, .0401 - .0402. .0704 - .0705: 2D .0105. 
.0302, .0306, .0317. .0328. .0603 - .0604: 2E 
.0103. .0202, .0301 - .0304. .0502, .0603 - To 
eliminate rules that are no longer relevant to 
administration of the Communit}- College System. 

23 NCAC 2B .0104 - To set forth the mission of 
the Conununity College System and how the mis- 
sion is carried out. 

23 NCAC 2B .0205. .0301 - .0302 - To clarify the 
Colleges ' planning process and to standardize and 
update language. 

23 NCAC 2C .0101 -.0102. .0105 - .0107. .0202. 
0204, .0207 - .0208. .0301. .0304- .0305. .0403. 
.0501 - .0502, .0603 - .0604, .0701 - .0703 - To 
standardize and update language, to eliminate 
obsolete provisions, and to incorporate the cooper- 
ative agreement provision in the rule. 

23 NCAC 2C .0209 - .0270 - To require each 
board of trustees to evaluate the college president 
and to adopt and publish designated personnel 
policies. 

23 NCAC 2D .0101. .0103 - .0104. .0109 - To 
clarify the pay schedule for college presidents, to 
standardize and update language, and to make 
military leave benefits for comtyumity college 
system personnel consistent with benefits available 
to state employees. 

23 NCAC 2D .0201 - .0205 - To standardize and 
update language, to clarify tuition and fee costs. 



1535 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



and to clarify the refund policy. 

23 NCAC 2D .0301, .0303 - .0305, .0307. .0309 
- .0314, .0318 - .0321, .0323 - .0324 - To stan- 
dardize and update language, to clarify budget 
requests and distribution of funds by the colleges, 
to regulate expenditure of state finds for designat- 
ed items by the colleges, to regulate acquisition of 
automate data processing resources, to regulate 
voluntary payroll deductions by colleges, and to 
clarify reporting of student hours. 

23 NCAC 2D .0325 - .0326 - To incorporate 
requirements mandated by the General Assembly 
with respect to in-plant training programs , courses 
taught in sheltered workshops and ADAP Centers. 

23 NCAC 2D .0601 - .0602 - To set forth the 
funding requests and finding allocation process for 
Community Colleges and the process for approving 
college sites and building plans by the State Board 
of Community Colleges. 

23 NCAC 2E .0101 - .0102, .0104, .0201. .0203. 
.0305, .0401, .0403, .0501 - To clarify the classi- 
fication system and approval process for programs , 
to regulate awarding of credentials , and to update 
and standardize the language, provision of training 
to industry, captive or co-opted groups, and 
military bases and articulation with the other 
educational systems. 

23 NCAC 2E .0402. .0502 - To incorporate re- 
quirements mandated by the General Assembly 
with respect to in-plant training programs and 
Huskins Bill programs. 

i^onvnent Procedures: Interested persons may 
present statements either orally or in writing at the 
public hearing, or in writing delivered or mailed, 
addressed to: Clay Tee Mines or Bill Cole. De- 
partment of Community Colleges, 200 West Jones 
Street. Raleigh. NC 27603. Written comments 
must be received by 5:00 p.m. on December 2, 
1992. 

tliditor's Note: The following rules have been 
filed as a temporary amendments effective Octo- 
ber 15, 1992 for a period of 180 days to expire 
on April 15, 1993: 23 NCAC 2D .0325 - .0326; 
2E .0402 and .0602. 



SUBCHAPTER 2A - RULES OF 
ORGANIZATION 

.0001 RESPONSIBILITIES OF THE 

DEPARTMEIVT OF COMMUNITY 
COLLEGES 

The Department of Community Colleges' rcspon 
sibiiitics include but arc not limited to the follow 

{\^ stat e level administration and leader s hip 

of the Community College System; 

{33 coordination of statewide planning for the 

Community College System with other 



(^ 



(§>- 



W- 



H^ 



public and private educational sectors; 



provision of assistance for institutional 
planning; 

(4) development of recommended changes in 

and additions to state board policies for 
the Community College System, — with 
assistance from institutions; 
consulting with the Community College 



Advi s ory Council in regard to advising 
the s tate board on matters relating to 
personnel, curricula, fmance, and articu 
lation, among others; 

{€) development of budget requests based on 

assessments of local and s tate needs; 

f?3 assistance to local institutions in develop 

curriculum guideline s and instruction 



m^ 



al materials; 

provision of information about the Com ■ 

munity College Sy s tem to the public; 
(9^ assistance to institutions in dealing with 

federal , — state — and — other agencies — and 

organizations; 
iVd) assi s tance to institutions in the develop 

ment. revision, and termination of curric 

ulum and extension and other educational 

program s to mak e available eomprehen 

swe — postsccondary — education — te — adult 

citizens; 
{4-4-) assistance to institutions in capital — ifH- 

provemcnt — and — equipment — and — media 

processing and inventory; 
{4-3) assistance — 1« — local — in s titution s — ifi — the 

development of appropriate student s cr 

vices; 

provision of other assistance a s requested 

by local institutions. 



Statutory Authority G.S. 115D-1: 115D-3; 115D-4; 
115D-5. 



CHAPTER 2 - COMMUNITY COLLEGES 



.0002 ORGANIZATION 

The Department of Community Colleges fulfills 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1536 



PROPOSED RULES 



its — admini s trative — responsibilities — through — the 
following organizational structure: — Office of the 
State President, an Executive Vice Pre s ident with 
Assistants — fof — Board — Affairs. — Policy — Affairs. 



Go\ernmental Affair s . Legal Affairs 



id Publi 



Affairs, and four Dix isions — Finance. Re s earch and 
Planning. — Programs. — Adult — and — Continuing 
Education — each headed by a V i ce President. 



Statiaon- Authority G.S. 1150-3: I15D-14: 
II5D-15: I15D-20. 



.0003 AUTHORITY 



for the 



(a) The State Board derive s it s authority Tor 
Community College System from G.S. I I5D and 
within that authority is granted power to organize 
and operate a department to provid e s tate level 
administration of the Community College Sy s tem. 

fbs — Each institution within the system operates 
under the direction of a board of trustees, a corpo 
rate body, which derives its authority from G.S. 
1 15D 12 through 1 15D 25 and rules of the State 
Board. 

fe^ — The s tate president is directed to carry out 
the rules of the State Board as affecting the depart 
ments and in s titutions. 

(d) All power and authority vested by law in the 
State Board which relates to the internal adminis 



tration. regulation, and gos'crnance of any indisid 
ual in s titution of the Community College Sy s tem 
are hereby delegated to the board of trustees of 
such institution with the following exceptions and 
reservations: 

-4 



;abk 



■H-) Power or authority that is non oeiegaDie 

a s a matter of law or because of the 
nature of it s exercise is not delegated; 



(3V 



Powc 



f 



eef — &f — authority — m — matters — e- 
s y s tcmwidc or inter institutional impor 
tance are re s erved for determination by 
the State Board if the s tate board ehoo s 
es to make such determination: 



The State Board 



ie siaie poara reserves the right to 
rescind any power or authority as it 
deem s nece ss ary: and 

f4^ More specifically. — the governing au 

thority of the State Board, which s uper 
s ede s local — authority, peilain s to the 
assurance of: 
{A) — fiscal accountability. 
{Sf) — program accountability, and 
fC-) — satisfaction of state priorities. 



Stcitiitan Authoritx G.S. 115D-3: 115D-5. 



.0004 STATE PRESIDENT: FISCAL 



DIRECTION AND BUDGET 
MANAGEMENT 

The State President of the Department of Com 
munity Colleges, subject to approval of the State 
Board shall have responsibility for fiscal direction 
and budgetary management as follov»'s: 

f4-) admini s tration of funds appropriated for 

s tate level operation and maintenance of 
the Department of Community Colleges; 

Hj development of biennial budget requests 

for both state and institution level opera 
tion s ba s ed on the assessment of need s 
for presentation to the State Board; 

0j represent the State Board in justif;y'ing 

and explaining the biennial budget to the 
Department of Administration and the 
General Assembly; 

keep all other agencies, in s titutions, and 
the general public, including the pres s , 
informed about any matters that may b e 
of interest to them which relate to or 
affect the Community College System 
and its institutions; 



f44 



f^ 



(4f- 



m- 



m- 



and 



review and recommend the approval or 
di s approval in whole or in part to the 
State Board the annual budget s s ubmitted 
by the respective board s of trustees of the 
in s titution s — m — compliance — w+th — G.S. 
1 15D 5 4 to as s ure that a proper balance 
is maintained between the various pro 
grams, instructional services, and admin 
istration; 



t'hieh 



approval — of tran s fer s . — which — may 
requested by the institutions, within the 
annual budgets based on study and deter 
mination that such transfers will improve 
the operation of the institution s and are 
not restricted by General As s embly or 
s tate board policy; 



f^ periodically review budget s 



tt+i- 



institu 



tional president s to con s ider budget ad 
justment s and to recomm e nd funds which 
may be reverted for reallocation to other 
institutions found to have a greater need; 



review, on a continuing ba 



*«T 



■#H: 



=Hial 



budget s with the respective institutions 
f&f — determining — program — offerings — m 
eomplianee with polic i e s and regulations 
of the State Board; 



recommend to the board the allotment of 
funds for the operation of the Community 
College and Technical — In s titute System 
such as but not restricted to the follow 

tftfr 

t*) Regular funding of formulas adopted; 



1537 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



ihj Formula funding reserve (current opcr 

ations): 

^ej Formula funding reserve (equipment); 

(d) New industry; 

(e) Human resources development; 

^ Visiting artist program; 

(g) Comprehensive Employment Training 

Act (CETA); 
ih) Additional allotments for institutional 

due s and repair s to equipment and other 

items having standing approval of the 

State Board; 

fi^ Construction allotment; 

^jj Various federal grants; 

fk) Adult basic education; 

^ Vocational education: 



within sixty days after adoption of the emergency 
rule. 



ft) handicapped, 

fit) — disadvantaged, 
ftif) — special needs, 
fjv) — research ; 

f+O) recommend to the state board changes or 

modifications in formula s as needed. 

Sratitron' Aurhorit)' G.S. 1150-3: 1150-4; 1150-5. 

.0005 RULEMAKING 

(a) Prior to recommending rulemaJcing, the State 
President shall cause a con s ultative proce ss to talce 
plac e — involving, a s a minimum, the executive 
committee s of the Trustees' Association and the 
Presidents' — Association — ©f — em — advisory — group 
nominated by these Associations in order to assure 
reliable, equitable, auditable, fair and effective 
proposals. 

ffe) — The State President shall recommend pro 
posed changes at a regular or special meeting of 
the State Board as information. 

fe) The State — President shall circulate such 



j cd changes to the Board Chair 



-and 



proposea cnangcs to tne Boara cnairmen 
Pre s ident s of the in s titution s , allowing a minimum 
of 30 days for comment. — He may, at his discre 
tion. schedule conference s or workshops or hear 



add it 



ion to s ucr 



fid 



ing s to — receive comment, — m- 
circulation. 

(4) — The State President shall then recomme 
the propo s ed rule changes to the State Board, with 
full information as to comments received from the 
in s titution s , at a regular or s pecial meeting. 

fe) — The State Board may approve, di s approve, 
revise or postpone the proposed rule. 

ff) — The State Board may take immediate action 
in an emergency situation, such emergency s hall 
be certified by two thirds of the member s pre s ent 
and voting, provided, however, that the process of 
involvement (b) through (e) of thi s Rule i s initiated 



sheW 



fg) — Nothing in this rule revision process sti 
super s ede the requirements of the Administrative 
Procedure Act, as revised. 

Statutory Authority G.S. 115D-3; 1150-5. 

SUBCHAPTER 2B - THE COMMUNITY 
COLLEGE SYSTEM 

SECTION .0100 - GENERAL PROVISIONS 

.0101 POLICY CONCEPT 

(a) The fundamental concept of the Community 
College System of North Carolina i s ba s ed on the 
policy that all — institutions shall — have an — "open 
door." 

fte) — The institutions of the Community College 
System shall as needed provide comprehen s ive 
learning — opportunitie s — for the — people — of their 
communities. — This education talces place in the 
normal — environment — of people — living — m — their 
communities and throughout the different ages and 
conditions of life of the people of the community. 

fe) — The Community College System in North 
Carolina — shall — serve — primarily — those — persons 
beyond the normal high s chool age, 18 y e ar s old 
or older, whether they arc high school graduates 
or not, by offering appropriate, economical and 
convenient learning opportunities. 

f4) — These opportunities range, depending on 
individual needs and previou s educational achiev e 
mcnt, from the first grade level through the s econd 
year of college, including occupational, and gencr 
al adult training to all of suitable age who wi s h to 
learn and can profit from the instruction provided. 

Statutory Authority G.S. 1150-1. 

.0102 OBJECTIVES 

The purpose of the Community College System 
is to extend universal — educational opportunitie s 
beyond the public school s y s tem. — The objectives 
of this stated purpo s e are: 

fH to provide expanded educational opportu 

nitie s from the first grade through high 
school and beyond high s chool for young 
people and adults who would not other 
wise continue their education; 

f3) to provide relatively inexpensive, nearby 

educational opportunities for high s chool 
graduates, — non high — s chool — graduate s , 
and adult s ; 
f^) 1© — provide college — tran s fer — program s . 



7:lfi 



NORTH CAROLINA REGISTER 



November 2, 1992 



1538 



PROPOSED RULES 



consiating of the first two year s of regu 

lar college s tudie s : 
(4j to provide technician programs, prcpar 

ing students for job s in indu s try', agrieul 

lure, business, government, and service 

oeeupulions; 
iSj to provide vocational programs preparing 



students for iob : 



ig var^'mg level s 



f^H- 



f^ 



JOBS reqi 
of ability and skill: 

to provide occupational education pro 
gram s — for employed — adult s — Vrh« — need 
training or re training, or who can other 
v\'isc profit from the program: 
-te — provide — courses that — wtH — meet — ttw 
general — adult — and — community' — service 
need s of the peop l e of the community. 



Sratuton- Aurlwrity G.S. I15D-1: 1150-2. 

.0103 LEGAL BASIS AND ALTHORITi 

North Carolina General Statutes. Chapter 115D. 
as amended, proxides the legal framework for the 
establishment. — organization. — em4 — operation — ef 
community colleges and technical institutes. 



Shituton- Amhorhy G.S. 115D-1 thrauiih !15D-81. 

.0104 >nSSION OF THE COMMLTVITV' 
COLLEGE SYSTEM 

The North Carolina Community College System 
is a statev\'ide organization of public two-year 
postsecondapv' educational colleges with an 
open-door admissions policy. Its mission is to 
pros'ide adults ]n North Carolina with quality and 
consenient learning opportunities consistent with 
identified student and community needs. These 
opportunities are accessible to aU adults regardless 
of age, sex, socio-economic status, ethnic origin- 
race, religion, or disability. Educational and 
training programs are designed to enhance the 
personal, social, and economic potential of the 
indi\ idual and to produce measurable benefits to 
the state. The system fulfills this mission by 
providing: 

( 1 ) Vocational programs and courses for 
students desiring to prepare for skilled 
trades or to upgrade their job skills: 

(2 1 Technical programs and courses that meet 
the career needs of indi\iduals: 

(3) Transferable programs and courses for 
students desiring to attend a senior col- 
lege or uni\ersitv: 

(4) Special occupational training and upgrad- 
mg programs and ser\ices for businesses. 
industries, and agencies: 



(5) Programs and courses in adult basic 
education, high school completion, and 
continuing education: 

(6) Counseling, career guidance, job place- 
ment services, and other programs essen- 
tial to developing the potential of indi\'id- 
ual students: 

(7) Programs and services to enrich the 
quality of community life: 

(8) Effective and cooperative relationships 
with the schools, colleges, universities, 
government agencies, and employers 
across the state: and 

(9) Sound management practices and system- 
atic planning to allocate the resources 
required to achieve the stated objectives 
of the North Carolina Community Col- 
lege System. 



Statutory Authority 
115D-5: 115D-8. 



G.S. 115D-1: 115D-4.1; 



SECTION .0200 - THE NORTH CAROLEVA 
COMMUNiri COLLEGE SYSTEM 

.0204 STATE PLANNING 

TTie Department shall develop a long range plan. 
The plan s hall take into account the current and 
future need s of the system, and clarify priorities 
e ss ential to carrv'ing out the purpo s e s of the sys 
tejfh — Th e plan s hall b e reviewed periodically to 
as s ure its continued validity. 



Statutory^ Authority G.S. 115D-1: 115D-3: 115D-5. 

.0205 COLLEGE PLANNING 

Each member institution college of the Commu- 
nity College System shall operate in accordance 
with a long range plan. maintain an ongoing 
planning process which provides for development 
of a college plan. As a minimum, the plan college 
plans shall address program and facility needs^ 
shall include the college's mission, goals and 
objectives, consistent with the mission of the 
System and with the State Board's priorities: and 
shall provide for evaluation of results, an^ Plans 
shall be submitted to the Department in accordance 
with its procedures. The plan shall be rex'icwcd 
periodically for the purpose of nioicing rexisions to 
assure it s continued validity. 

Statutory Authority G.S. 115D-1: 1 15D-3: 1 15D-5. 

SECTION .0300 - STATE PRESIDENT: 
ALTHORIZATIONS 



1539 



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PROPOSED RULES 



.0301 PROVISION OF INFORMATION 
TO THE DEPT OF COMMUNITY 
COLLEGES 

The trustees and the president of each institut i on 
college are responsible for seeing that scheduled 
periodic official reports about the institution 
college and any special reports are timely submit- 
ted and in the a timely manner and in the format 
prescribed by the State System President. 

Statutory Authority G.S. 1150-5. 

.0302 NO-COST EXTENSION OF 
CONTRACTS 

The State System President is authorized to 
extend the completion date, at no additional cost, 
of any contract which has received prior approval 
of the State Board when circumstances warrant, 
provided that no applicable laws or regulations 
prohibit such an extension. Such an extension 
shall not exceed six months beyond the completion 
date approved by the State Board. 

Statutory Authority G.S. 115D-5. 

.0303 ADMINISTRATIVE MEMORANDA 

The State Pre s ident i s authorized by the State 
Board to issue administrative memoranda specify 
ing the manner in which technical institutes and 
community colleges, as well as staff members of 
the — Department — e# — Community — Colleges, — are 
required to carry out polic i es of the state board. 

Statutory Authority G.S. 115D-3; 115D-5. 

SUBCHAPTER 2C - INSTITUTIONS: 
ORGANIZATION AND OPERATIONS 

SECTION .0100 - TRUSTEES AND 
INSTITUTIONS 

.0101 AUTHORIZATION 

The boards of trustees of community colleges 
and technical institutes as bodies corporate are 
authorized to do all things necessary and proper to 
organize and operate in s titution s colleges consis- 
tent with G.S. 115D and policies of the State 
Board . 

Statutory Authority G.S. 1150-5; 1150-14. 

.0102 NAME 

Trustees of all institutions colleges hereafter 
named or renamed as defined under 1 15D 2(7) 



G.S. I15D shall use the appropriate full term, 
"Community College," — "Technical — In s titute" or 
"Technical College" Community College, in the 
name given the institution, college. "Technical 
Institute" and "Technical College" arc con s idered 
synonymous terms. — Local Boards of Trustees, 
with concurrence of the respective county commis 
s ioncrs, may elect to use "Technical College" in 
lieu of "Technical Institute." Other than the three 
term s term mentioned in this Rule, the Trustees 
have full authority. Changes in existing names 
shall be forwarded to the State Board specifying 
the specific date of the change prior to the effec- 
tive date. Conformity shall be required before any 
state funds are authorized. 



Statutory Authority G.S. 1150-2: 1150-5. 

.0103 ROLE 

(a^ — The Community College System was c s tab 
lishcd to provide additional educational opportuni 
tie s to the citizens of North — Carolina, aiming 
primarily at the po s t high s chool level, and to fill 
an educational opportunity gap between the high 
schools and the four year colleges and the univer 
sity system. — The filling of thi s gap require s open 
door admi ss ion of both high school graduates and 
of others who may not be high school graduates. 
The provision of educational opportunity for this 
broad range of student ability and need s require s 
a broad range of curriculum and continuing educa 
tion offerings. 

(b^ The carrying out of this re s pon s ibility 

as s igns a unique role to the institutions in the 
Community College System, which ro l e i s fundu 
mentally different from the selective role tradition 



ally a ss igned to four year colleges and universities. 
Becau s e of thi s , for a community college to aspire 
to become a four year college would not repre s ent 
normal grov»1h, but would de s troy the community 
college role and replace it with an entirely differ 
ent type of in s titution. 

fe) — No community college or technical institute 
shall attempt to become a four year institution. 

Statutory Authority G.S. 1150-1; 1150-5. 



.0105 ESTABLISHING COLLEGES 

(a) General Policy. In authorizing the establish- 
ment of a new institution college in a county in 
which no in s titution college of the Community 
College — System community college system is 
currently located, an in s titution a college will be 
approved initially as a community college. 

(fe) — New In s titutions. An application for a new 



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November 2, 1992 



1540 



PROPOSED RULES 



area to be served must come from the county ef 
citv board(s) of education or the county commis- 
sioners in the proposed administrati\e area. The 
application shall be sent to the State Board which 
may direct the Department to cooperate with the 
applicants in making a sur\ey to determine the 
following: need for the establishment of a new, 
college. 

t4-) Do the educational noods of the area 

justify' — the — educational — services — pf©- 

po s ed? 
t3-) Gsfl — i^ — existing — public — arid — prixate 

post secondan,' institutions in the area 

moot the needs domonstratod'!' 



f^ 



m- 



ff^ 



w- 



^ 



mi 



f+++- 



4f 



unmet educational — needs exist that 
could be met b\' the proposed institu 
tion. will the projected student enroll 
ment justifx' the propo s ed in s titution? 
.A s Q standard, the projected enrollment 
should bo a minimum of 4 00 full time 
equi\'alcnt student s in curriculum pro 
grams within three )'cars after establi s h 
ment. 

f4-> Can adequate local current and capital 

expen se funds be supplied? As a stan 
dard. the level of local current operat 
ing fund support should be equal to the 
existing median s upport for the institu 
tions in the community college system. 

iS-) Will the local public school tax support 

bo affected adxersely by the local sup 

port required for the proposed institu 

1 1 o n . 

Do the boards of commissioners and 

board s of education in the area support 

the application? 

■Are the facilities proposed to house the 



new in s titution adequate 



Doe s the application Fit the policy of 
reasonable — geographic — distribution — ift 
order to meet s tatewide needs? — A s a 
s tandard. — no new institution shall be 
established within 25 miles of an exist 
tftg — in s titution v\ithin the community 
college — s y s tem. — except — where — urban 
population density or natural barriers 
become oxorriding considerations. 



Will adequate state funds become a\ai 
able to s upport the propo s ed new inst 
tution? 



-G- 



an the immediate — needs ot an area 
be s t be s erxed by an extension unit 
operating under contract with an exist 
ing in s titution'? 
■A statement of anticipated dcscgrega 



tion impact will be required. 
f45) When the survey is completed, the 
Department will report to the State 
Board and make its recommendations. 
recommendation(s). A local delegation 
may appear if desired. The State Board 
shall make its recommendation recom- 
mendation(s) for the establishment of a 
new institution college to the General 
Assembly, including a request for 
additional funds if needed. 



Statutory Authority G.S. 
1I5D-31 through 115D-36. 



115D-4: 115D-5: 



.0106 ESTABLISHING NnLIT.\RY 
SERVICE AREAS 

Educational programs offered by in s titutions 
colleges of the community college system of North 
Carolina on all military' installations will be con- 
ducted by the home institution, college. The 
home in s titution college is defined as that institu 
ttoft college located in the administrative area in 
which the militar\' installation is based. Tfie home 
in s titution s college by written contractual agree- 
ment may contract with other institution s another 
college vx'ithin the Community College System for 
assistance in prox iding community college system 
to provide any additional educational services 
which may be required by the military installation 
located in the home institution's college's area. 
Priority will be given to adjacent institution s 
colleges of the military' installation to be served. 

Statutory Authority G.S. 115D-5. 

.0107 EST.\BLISHESG SERMCE 
AREAS FOR COLLEGES 

The State Board shall assign serxice areas to 
in s titution s colleges for prox'iding education and 
training serxices. The initial assignment of serxice 
areas to institutions colleges shall take into account 
the past and present patterns of providing services, 
including existing agreements between institutions. 
colleges. The State Board may reassign a service 
area upon the recommendation of the State System 
President. The recommendation shall be based 
upon an analysis of the service areas inx'olved, 
including consultation x\ith the presidents of the 
institutions colleges and the county commissioners 
of the countx(ies) that are affected. 

An institution A college may offer education and 
training in an area assigned to another in s titution 
college only by xxritten agreement between the 
in s titutions, colleges. This written agreement is 



1541 



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November 2, 1992 



PROPOSED RULES 



to be filed with the System President. A board of 
trustees may delegate to its president the authority 
to enter into short-term written agreements. 
Agreements beyond one year in length shall be 
approved by the boards of trustees of the inatitu 
tions colleges involved and filed with the State 
System President. 

Statutory Authority G.S. 115D-5. 

SECTION .0200 - PERSONNEL 

.0202 FACULTY 

(a) General 

f-1-) In order to give guidance to higher 

education institutions preparing teachers 
for the — institutions, — the — State — Board 
adopts the following general policies: 
(A) — Formal certification of teachers by the 

Department will not be required. 
fB) — Each higher education institution will 
develop the professional and academic 
education requirements it finds ncces 
sary in order to assure de s ired faculty 
characteristics — without any specific 
credit hour requirements prescribed 
by the State Board. 

(1) (3^ — In s titutions Colleges shall employ 
faculty members so as to meet Southern 
Association of Colleges and Schools 
Schools' standards. 

(2) {i^ — In s titution s Colleges shall deter- 
mine appropriate teaching and 
non-teaching loads for faculty and for 
technical assistants to the faculty so as 
to meet Southern Association of Colleg- 
es and Schools Schools' standards. 

(b) Instructors for Fire Service Training (Exten 
sion). Extension Emergency Services Training. 
It is the policy of the State Board that All instruc- 
tors in the fire service area of Emergency Services 
Training program must be trained to teach adults 
and must meet qualifications be qualified as estab- 
lished by the Department in consultation with the 
Fire Service Training State Advisory Committee. 
Procedures for meeting rceommended qualifica 
tion s — shall — be — instituted — and — regulated — by — the 
Department — Fwe — Service — Training — Division. 
Procedures shall include directions to fire service 
in s tructor s , in s tructor candidates, state director of 
fire service training, fire s ervice area coordinator s . 
and — teed — institution s . respective emergency 
services state-level certifying agency. Emergency 
services training means training delivered to 
personnel in law enforcement, fire and rescue 



services, and emergency medical services agen- 
cies. 

Statutory Authority G.S. 115D-1; 115D-5. 

.0204 EMPLOYMENT OF RELATIVES 

It is the policy of the State Board that present 
and prospective employees shall be evaluated on 
the basis of individual merit, without respect to 
race. sex. religion, national origin, or any other 
factor s not involving professional qualifications 
and performance. — In accordance with the policy 
principle, the following restrictions arc adopted. 
To avoid the possibility of favoritism based on 
family relationships, for all employees in the 
system: 

(1) An institution A college shall not employ 
two or more persons concurrently who 
are closely related by blood or marriage 
in positions which would result in one 
person of such family relationship super- 
vising another closely related person or 
having a substantial influence over em- 
ployment, salary or wages, or other 
management or personnel actions pertain- 
ing to the close relative. 

(2) "Closely related" is defined to mean 
mother, father, brother, sister, son. 
daughter, father-in-law, mother-in-law, 
son-in-law. daughter-in-law. sister-in-law. 
brother-in-law. grandmother, grandfather, 
grandson, granddaughter, uncle, aunt, 
nephew, niece, husband, wife, first cous 
tftr step-parent, step-child, step-brother, 
step-sister, guardian or ward. 

(3) With respect to the concurrent service of 
closely related persons within the same 
academic department or other comparable 
institutional college subdivision of em- 
ployment, neither relative shall be per- 
mitted, either individually or as a mem- 
ber of a committee, to participate in the 
evaluation of the other relative. 

{A) The provisions of this policy shall be 

prospective only, with reference to ap 
pointments made after the adoption date 
of this policy. 

Statutory Authority G.S. 115D-5: 115D-20. 

.0205 EMPLOYMENT AND DISMISSAL 
POLICIES 

The respective boards of trustee s of the technical 
in s titute s — and — community — colleges — shall — adopt 
employment and dismissal policies and procedures. 



7:15 



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November 2, 1992 



1542 



PROPOSED RULES 



These — employment — afld — dismissal — polieies — aftd 
proeedure s vx'ill eomply with existing state and 
federal iavKs and vxill be tiled with the s tate pre s i 
dent by April 1. 1978. 

Suituton Aitrhoht} G.S. 115D-5: 115D-20. 

.0206 STAFF DEVELOPMENT POLICY 

Eaeh board of trustees shall adopt a poliey on 
staff development for all employees of the institu 
lion . 

Stafiiiory Authority G.S. 115D-5: 115D-20. 

.0207 PURCHASE/CO.MPLTER 
HARDWARE: SYSTEM 
SOFTWARE/STATE CONTRACT 

fa) The State Board of Community Colleges 
authorizes the following certain classes of full-time 
employees to purchase microcomputers, related 
peripheral equipment, and system software under 
state contract at state contract prices in accordance 
with procedures set forth in the Department's 
Accounting Procedures Manual. 
t4-) classroom instructors; 



<^ 



other — profe ss ional — personnel — tfl — the 
department and institution s , including 



supers isors an ' 



4-a4 



mmi 



s trator s , engaged 



;, engage<- 

in delivering or supervising classroom 
instruction, or engaged in curriculum 
dc\'clopment: 

{ij other per s onnel in the department and 

the local institutions engaged in deliver 
ing serxices through computer related 
equipment. 
fb-t — In addition to any proeedures or require 
mcnts of the Department of Administration or the 
State — Budget — Office. — ftfi — institutional — employee 
included within a class defined in Paragraph (a) of 
thi s Rule vx ' ho desires to purchase computer equip 
ment or s y s tem s oftware under state contract at 
state contract price s s hall submit a request to his 
president. This request shall contain a certification 
by the employee that: 

{ij he i s a member of one of the cla ss e s of 

employees defined in Paragraph (a) of 
this Rule; 



f3+- 



A 



he intends to continue employment wi 
the community college system; 

(^4 fh^ — computer — equipment — ef — s ystem 

software to bo purchased b\' the em 



ployee 



jt-th^ 



y'cc will a ss i s i ine emplovee in per 
forming — Iw* — a ss igned — dutie s — &f — vrt44 
enable — the employee to improxe the 
performance of his assigned duties; 



f44 the — computer — equipment — &f — system 

software to be purchased will not be 
resold for at least three years from the 
date of purcha s e; and 

f^) the — computer equipment — te — be — pw=- 

cha s ed will not be used primarily for 
the employee's private benefit. 
■fe) — Upon receipt of a request from an employee 
the president shall determine whether the informa 
tion provided therein by the employee is accurate. 
If the president is satisfied that the information 
contained in the request i s accurate the president, 
in accordance with any procedures or requirements 
established by the Department of Administration or 
State Budget Office, shall initiate the process for 
the purchase of the reque s ted computer equipment 
or system software. A reque s t which is incomp l ete 
or which contains inaccurate information may not 
be approved by the employee's president. 

(4) Each employee shall be limited to one 

approved purcha s e order under the application of 
this Rule per three year period from the date of 
fir s t purcha s e. 

fe-) — All reque s t s for the purchase of computer 
equipment or s y s tem s oftware shall be submitted 
on a form prepared by the Department of Commu ■ 
nity College s which incorporate s the requirements 
of Subparagraph (b) (2) of thi s Rule. 

(f) In addition to anv procedures or requirements 
of the Department of Admini s tration or the State 
Budget — Office, — professional — personnel — tn — the 
department included in Subparagraph (a) (2) and 
(3) of this Rule who de s ire to purchase computer 
e quipm e nt or system s oftware under state contract 
ihall follow the 



at s tate contract price 
prescribed by the department. 



proc 



Statutory Authority G.S. 115D-5; 143-58.1(b). 

.0208 POLITICAL ACTIVITIES OF 
EMPLO\"EES 

(a) As an individual, each emplovee of the 
community college system retains all rights and 
obligations of citizenship provided in the Constitu- 
tion and laws of North Carolina and the Constitu- 
tion and laws of the United States. Therefore, the 
State Board of Community Colleges encourages 
employees of the system to exercise their rights 
and obligations of citizenship. 

(b) f-H Each local board of trustees shall devel- 
op a policy on the political acti\'ities of its employ- 
ees, except for the president, that meets the fol- 
lowing criteria and submit that policy to the 
Department of Community College s System Presi- 
dent to determine if the policy meets these criteria: 



1543 



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NORTH CAROLINA REGISTER 



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PROPOSED RULES 



(1) fa) Any employee Employees who 

decides decide to run for a public office 
offices shall notify the board of trustees 
through the president of his intention 
their intentions to run and certify that 
he they will not campaign or otherwise 
engage in political activities during his 
their regular work hours or involve the 
college in hts their political activities. 

(2) fh) Any employee, who is elected to a 
part-time public office, shall certify 
through the president to the board of 
trustees that his the office will not 
interfere with his carrying out the du- 
ties of his the position with the college, 
or request leave. 

(3) (e) Any employee, who is elected or 
appointed to a full-time public office or 
the General Assembly, shall be required 
to take a leave of absence without pay 
upon assuming that office. The length 
of the leave of absence shall be deter- 
mined by the local board of trustees. 

(4) (4) Any employee who becomes a 
candidate for public office shall be 
prohibited from soliciting support dur- 
ing his regular work hours. The em- 
ployee in question is prohibited from 
soliciting support on college property 
unless otherwise authorized by the local 
board of trustees. 

(c) (3) Political activities of college presidents. 

(1) fa^ Any college president, who decides 
to run for public office, shall notify the 
local board of trustees of his the inten- 
tion to run and certify that he will not 
campaign or otherwise engage in no 
campaigning or political activities will 
be engaged in during his regular work 
hours or involve and that the college 
will not be involved in his the 
president's political activities. 

(2) fb) Any college president, who is 
elected to a part-time public office, 
shall certify to the local board of trust- 
ees that his the office will not interfere 
with his carrying out the duties of his 
position with the college presidency , or 
request leave. 

(3) (e) Any college president, who is 
elected or appointed to a full-time 
public office or to the General Assem- 
bly, shall be required to take a leave of 
absence without pay upon assuming that 
office. The length of the leave of 



absence shall be determined by the 
local board of trustees. 

(4) (^ Any college president, who is a 
candidate for public office, is prohibited 
from soliciting support during his regu- 
lar work hours. The president in ques- 
tion is prohibited from soliciting sup- 
port on college property unless other- 
wise authorized by the local board of 
trustees. The authorization must be on 
a case^by^case basis. 

(5) (e) The local board of trustees shall 
notify the state board if the college 
president should become a candidate for 
public office or if the college president 
is elected or appointed to a public 
office. 

(d) {;¥) Definitions as used in this Rule. 

(1) fa) Public office means any national, 
state or local governmental position of 
public trust and responsibility, whether 
elective or appointive, which is created 
or prescribed or recognized by constitu- 
tion, statute, or ordinance. 

(2) fb) Membership in the General Assem- 
bly is a full-time public office under 
this Rule. 



(4^ 



-=Rii 



Application of this Rule. 1 ne require 

mcnts of this Rul e s hall apply proapcc 
tivcly only. — No change in the employ 
mcnt status of an employee who was an 
incumbent in public office on the cffec 
tivc date of thi s Rule shall be required 
under this Rule for the remainder of that 
term of office; provided, however, this 
Rule shall not apply to any employee in 
the system who was a full time public 
officer on the effective date of this Rule. 

Statutory Authority G.S. 115D-5; 115D-20. 

.0209 EVALUATION OF PRESIDENTS 

Each local board of trustees shall evaluate its 
president annually and notify the State Board in 
writing that the evaluation has been completed by 
July 1 of each year. The evaluation instrument 
and method shall be selected by the local board . 

Statutory Authority G.S. 1150-5; 115D-20. 

.0210 LOCAL COLLEGE PERSONNEL 
POLICIES 

(a) Each local board of trustees shall adopt and 
publish personnel policies addressing the following 
issues: 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1544 



PROPOSED RULES 



14) 
15] 
16] 



Adverse weather; 
Annual leave (vacation); 
Drug and alcohol use; 
Civil leave; 
Communicable disease; 



I8J 
19] 
(10) 



Compensatory leave; 
Definitions of the employment catego- 
ries and benefits for each: 

(A) Full-time permanent, 

(B) Part-time permanent. 

(C) Full-time temporary, and 

(D) Part-time temporary; 
Disciplinary action addressing suspen- 
sion and dismissal; 



(12) 
(13) 



(14) 
03] 
(16) 



Educational leave (reference 23 NCAC 
2D .0103); 

Employee evaluation process; 
Employee grievance procedures; 
Employee personnel file; 
Hiring procedures (written and describ- 
ing procedures used for employment of 
both full- and part-time employees); 
Leave transfer; 
Leave without pay; 

Longevity pay plan (reference 23 
NCAC 2D .0109); 

Military leave (reference 23 NCAC 2D 
.0104); 

Nepotism (reference 23 NCAC 2C 
.0204); 

Non-reappointment; 
Other employee benefits; 
Political activities of employees (refer- 
ence 23 NCAC 2C .0208); 
Professional development; 
Reduction in force; 

Salary' determination methods for fuli- 
and part-time employees; 
Sexual harassment; and 
Tuition exemption ( reference 23 NCAC 
2D .0202). 

(b) Each local board of trustees shall adopt and 
publish sick leave policies consistent with provi- 
sions of the State Retirement System. 

(c) Each local board of trustees shall submit 
copies of these policies, including amendments, to 
the System President's Office upon adoption. 

Statuton.- Authority G.S. I15D-5: 1150-20. 

SECTION .0300 - STUDENTS 

.0301 ADMISSION TO COLLEGES 

Each institution college shall maintain an 
open-door admission policy to all applicants who 



07] 

(18) 

(19) 
(20) 
(21) 

(22) 
(23) 
(24) 

125] 
(26) 



are high school graduates or who are at least 18 
years of age. Student admission and placement 
shall be determined by the officials of each institu 
tion. college. Admission requirements for an 
emancipated minor shall be the same as for an 
applicant 18 years old or older. 



Statutorx Authority G.S. 
115D-20; 7A-717; 7A-726. 



115D-1: I15D-5; 



.0302 LOW STUDENT TUITION AIVD FEES 

The State Board has s ince 1957 supported an 
open door admi ss ion policy for s tudents attending 
the technical — institutes and community colleges. 
Thi s includes freedom from fixed requirement s on 
prev i ou s educational achievement levels and also 
from tuition and fee charges that would turn away 
students because they cannot afford to pay. — hi 
following thi s policy, tuition and fee charge s for 
students are kept to a minimum so that educational 
opportunity can be open for all citizens of North 
Carolina 1 8 year s or older who need this opportu 
nity. This includes opportunity for adults to malce 
up educational — deficiencies — em4 — to s ecure job 
training s o that they can mal-;e a better living. 



Authority G.S. 115D-1: 115D-5: N. C. Constitu- 
tion. Article IX. 

.0303 WORK-STUDY PROGRAM UNDER 
THE VOCATIONAL EDUCATION 
ACT 



The State Board 



approves the u s e of Part A. 
Subpart — 3 — (basic — grant) — Vocational — Education 
Fund s to s upport work s tudy program s a s de 
scribed in the State Plan for Vocational Education. 



Each 



of 



in s titution shall determine that portion 
their subpart 2 funds which will be u s ed for 
work s tudy programs. 

Statutory Authority G.S. 115D-5: P.L. 81-874: 
P.L. 94-482. 

.0304 STUDENT LOAN FUNDS FOR 

VOCATIONAL AND TECHNICAL 
EDUCATION 

Wi — The loan fund shall be held by the State 
Board and released by the State President of the 



& 



partmcnt ot Community Colleges to meet loan 
jommitmcnt s made by the variou s institutions. 

fb^ — The Department of Community Colleges 
sheH — di ss eminate — information — concerning — the 



Student — Loan — Fund to 



jhief adr 



-afl — ehiet administrative 
officers — of technical — in s titute s — and — community 
colleges, hereinafter referred to a s in s titution s . 



1545 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



The Department of Community Colleges — shall 
prepare — news — releases, — brochures, — and — other 
publications interpreting the student loan program. 

{e) — Applicants for the loans s hall be furnished 
copie s of the governing rules — asd — regulations 
adopted by this board. — Recipients of loans, by 
virtue of having complied with all the requirements 
for receiving aid, s hall thereby be acknow l edging 
their agreement to abide by the purpose of the 
fund and the rules and regulations prescribed by 

the board. Each — institution is — responsible for 

administering the fund and for making and collect 
ing the loans. — Periodically, as determined by the 
State President of the Department of Community 
Colleges and the State Board, collections on the 
loans shall be transmitted to the State Board. The 
institution, through a student loan committee, shall 
be responsible for the selection of tho s e candidate s 
to be recipients of student loan s . 

{4) — The State President of the Department of 
Community Colleges shall reque s t in s titutions to 
furnish — hw — office — wrth — appropriate enrollment 
verification that recipients of student loans arc 
full time student s , and other necessary reports and 
information for proper records and control of total 
program . 

fe) — The State Board s hall have authority to 
revoke any loan if and when it s hould be deter 
mined that: 



f 



(4-) The information s ubmitted in support o 

the application was willfully reported 
erroneously or incompletely; or 

(3) The student is not pursuing his work 

satisfactorily. 
(f) — It shall be the responsibility of th e loan 
recipients to keep the chief administrative officers 
of institutions informed of any change in address, 
statu s , or employment. 

{g) — Recipient s of student loan s may be granted 
financial assistance of not more than three hundred 
dollars ($300.00) per academic s chool year. — The 
number of loans will be determined by the demand 
and the availability of funds. 

^ — Recip i ent s of s tudent loan s s hall execute 
promissory notes on form s approved by the Attor 
ney General. — All student loans shall be evidenced 
by s aid note s , approved by and made payable to 
the institution granting the loan, which shall bear 
interest at the rate of three and one half percent 
per annum. — Repayment of such principal together 
with accrued interest thereon, shall be made over 
a minimum of five year repayment period, com 
mencing one year after the maker of the note 
ceases to be a full time student in an institution 
and ending six year s after such date. Interest shall 



accrue — from the — beginning of such — repayment 
period. — In the event of the loan recipient's total 
and permanent disability or death, the unpaid 
indebtedness shall be cancelled. — In the event of 
unsatisfactory progress or permanent withdrawal 
from the institution, the entire indebtedness shall 
become due payable, with intere s t commencing on 
that date. 
ft^ — Each candidate for a loan must: 

{+) be a resident of North Carolina and be 

or expect to be a full time student of 
the approved institution as defined by 
the State — Department of Community 
Colleges; 

(3^ declare that he is in need of financial 

aid to continue his studies as evidenced 
by information on furnished forms; 

(^^ apply on forms provided by the State 

Department of Community Colleges at 
the appropriate time; 

f^) be approved by the in s titution student 

loan committee; 

use the proceeds of the loan only for 



(^ 



the payment of tuition and required 

fees, institutional equipment, material s , 

and books, board and room, and similar 

living expen s es. 

fj) — Applications shall be submitted to the chief 

administrative officers of institutions on form s 

prescribed and supplied by the State President of 

the Department of Community Colleges. — Addi 

tional forms essential — to the operation of the 

Student — Loan Fund may be developed in the 

discretion of the State President of the Department 

of Community Colleges. — Additional regulations 

essential to the administration of the Student Loan 

Fund may be developed in the discretion of the 

State President of the Department of Community 

Colleges and the approval of the State Board. 

The Student Loan Fund was established by the 
State Board to meet loan commitments by the 
various colleges. Administration of this program 
shall follow the procedures set forth in the 
Department's Accounting Procedures Manual. 



Statutory Authority G.S. 115D-1: I15D-5. 

,0305 EDUCATION SERVICES FOR 
MINORS 

(a) The state board shall encourage individuals 
to complete high school before seeking admission 
to an in s titution, a college. 

(b) A minor, 16 years old or older, may be 
considered a student with special needs and may be 
admitted to an appropriate program at an institu 



7:15 



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November 2, 1992 



1546 



PROPOSED RULES 



iien a college if the local public or private educa- 
tional agency determines that admission to the 
program is the best educational option for the 
student and the admission of such student to the 
program is approved by the institution, college. 
This requirement may be waived if the student has 
been out of school at least six months and hts the 
application is supported by a notarized petition of 
his the student's parent, legal guardian, or other 
person or agency having legal custody and control. 
The petition shall certify the student's residence, 
date of birth, date of leaving school, and the 
petitioner's legal relationship to the student. 

(c) A high school student, 16 years old or older, 
based upon policies approved by the local public 
or private board of education and board of trust- 
ees, may be admitted to appropriate courses^ 
except adult high school, concurrently under the 
following conditions: 

(1) Upon recommendation of the chief 
administrative school officer and tfee 
approval of the president of the institu 
tion; college; 

(2) Upon approval of the student's program 
by the principal of the school and the 
president of the institution: college; and 

(3) Upon certification by the principal that 
the student is taking at least three high 
school courses and is making appropri- 
ate progress toward graduation. 

(d) High school students, taking courses pursu- 
ant to Paragraphs (b) and (c) of this Rule, shall not 
displace adults but may be admitted any quarter on 
a space-available basis to any curriculum or con- 
tinuing education course. Once admitted, they 
shall be treated the same as all other students. 

(e) Local boards of trustees and local school 
boards may establish cooperative programs in 
areas they serve in order to provide college cours- 
es to qualified high school students with college 
credits to be awarded to those high school students 
on successful completion of the courses, subject to 
appro\al by the State Board. Instructions for the 
implementation of this Rule are set forth in the 
"Manual on Cooperative Programs in North 
Carolina High Schools and Community Colleges." 

(f) fe-» L'nless specifically authorized by state 
la\», . institutions colleges shall not start classes, 
offer summer school courses, or offer regular high 
school courses for high school students. 

(g) i4j — An institution A college may make 
available to persons of any age non-credit, 
non-remedial, enrichment courses during the 
summer quarter. These courses shall be 
self-supporting and shall not earn credit toward a 



diploma, certificate, or degree at the institution 
college or high school. 

(h) -fg^ At the request of the director of a 
training school having custody of juveniles com- 
mitted to the Division of Youth Services, Depart- 
ment of Human Resources, an institution a college 
may make available to such juveniles any course 
offered by that institution college if they meet the 
course admission requirements. The Director's 
request shall include bis the Director's approval 
for each juvenile to enroll in the course. Courses 
made available to such juveniles shall follow the 
approval process for immured groups as set forth 
in 23 NCAC 2E .0403. 



Statutory Authority 
1150-20. 



G.S. 115D-1; 115D-5; 



SECTION .0400 - LIBRARIES AND 
LEARNING RESOURCES CENTERS 

.0401 STANDARDS 

Library — and — Icaming — rosourcos — standards — fer 
books, furniture, etc., arc included in the equip 
mont standards approved by the state board. 

Statutory Authority G.S. 1 15D-5. 

.0402 CLASSIFICATION SYSTEM 

The local board of tru s tees of each institution is 
authorized to adopt for the institution' s library 
cither the Dewey Decimal Classification System or 
the Library of Congress Classification System, 
provided, however, that an in s titution changing 
from one classification system to the other s hall 
ft&t — receive — extra — s tate — fund s to — facilitate — the 
changeover. 

Statutory Authority- G.S. 115D-5; 115D-20. 

.0403 SLUPLUS AND IRREPARABLE 

BOOKS AND BOOK-LIKE MEDIA 

Books and book like media originally purchased 
from state or federal funds, when they are no 
longer — desired — by — em — institution — shati — be 
de acce s sioned at the institution. — The s e material s 



-thf 



may be disposed of by the in s titution tnrougn a 
local — saie-; — through — donation s — te — non profit, 
tax exempt organization s or tax supported agencies 
or in s titutions; through public bid sale by the State 
Surplus — Property — Agency: — ©f — by — using — other 
procedures prescribed by the department. Records 
and receipts of each sale shall be maintained for 
auditing purpo s es. The disposal of surplus and 
irreparable books and book-like media by colleges 



1547 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



shall follow procedures set forth in the 
Department's Accounting Procedures Manual. 

Statutory Authority G.S. 115D-5; 115D-31. 

SECTION .0500 - EQUIPMENT 

.0501 EQUIPMENT PURCHASES 

In order to make the best use of available state 
appropriations for the acquisition of equipment, to 
assure each institution college of its fair share of 
equipment funds, to achieve full utilization of all 
idle equipment in the system before similar equip- 
ment is purchased for any institution, college, and 
to arrange for the most effective administration of 
the equipment program, the following policies 
criteria are adopted: 



(1) 



(2) 



Equipment (other than purchases from 
capital improvement funds), library 
books, and book-like materials provided 
each institution college are purchased by 
funds from the appropriate Budget Code^ 
16800. 

Equipment and library collections for 
each institution college will be provided 
by their its annual equipment and library 
book budgets. which will have funds 
identified for equipment and funds identi 
ficd for library collections. The funds 
allocated each institution college for 
equipment and for library collections will 
be determined by the Department ef 
Community College s using the "equip- 
ment budgeting formula" and the "library 
book formula" and will be submitted to 
the State Board for approval. 
The board of trustees and the president 
are responsible for managing and admin- 
istering the funds provided for equipment 
and library collections to ensure that the 
institution college has the proper equip- 
ment and the library collection needed to 
support the authorized curricula and 
courses^ that have been authorized for an 
institution to offer. 
Equipment Fiscal Management 

(a) Equipment fiscal management standards 

have been established for five program 
area s to provide a fiscal management 
system to guide institutions in the rcqui 
sitioning of equipment. 

(fe) The cumulative total amount of equip 

ment funds that will be allocated to an 
institution will be determined by its 
E/FTE size. — That amount is the stan 



(3) 



{^ 



dard and i s s hown on the equipment 
fund phasing chart. — For example, an 
institution in the size cla ga ification of 
zero to 163 E/FTE will be allocated a 
total of two hundred forty six thou s and 
dollars ($2 4 6,000) for equipment over 
a period of time. — Twenty percent of 
this total amount, or forty nine thou 
sand two hundred dollars ($ 4 9,200), 
may be expended in the general area; 
and this amount is the suggested stan 
dard for the general area at the zero to 
163 E/FTE s ize level. — Suggested ex - 
penditure for the functional area s are: 
20 percent for general area, tv.'o percent 
for adult education area, 15 percent for 
college transfer and general education 
area, 60 percent for occupational educa 
tion area and three percent for special 
education area. 
(4) (§) Title to administrative and instruc- 
tional equipment purchased with 
state-allocated funds is held by the State 
Board and will become a part of the 
Community College System community 
college system equipment inventory^ and 
such Such equipment will be eligible for 
transfer to other institutions, colleges. 

(6) New curriculum program requests to the 

General Assembly shall also include, a s 
well as current expense fund s needed, 
that detailed — s tatement s — of equipment 
funds required are available to support 
the new educational programs. 



Statutory Authority 
1150-54. 



G.S. 115D-5: 115D-31; 



.0502 SURPLUS PROPERTY 

The State Board hereby delegates to the local 
governing boards of the respective in s titutions 
colleges the power to dispose of personal property 
to which the governing board boards of the institu 
tions colleges hold the legal title, titles as pre- 
scribed by law. 



Statutory Authority 
115D-54. 



G.S. 115D-5: 115D-14: 



SECTION .0600 - INSTITUTIONAL 
EVALUATION 

.0603 ACCREDITATION BY THE 
SOUTHERN ASSOCIATION 



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November 2, 1992 



1548 



PROPOSED RULES 



The State Board requires all institution s colleges 
to seek obtain and maintain regional accreditation 
by the Southern Association of Colleges and 
Schools^ and to follow the necessary procedures 
involved in the reaffirmation of this accreditation. 
The State System President, when requested, will 
provide assistance to institutions colleges seeking 
regional accreditation. 

Statutorx Authohtv G. S. 115D-1: 1 15D-3: 1 15D-5. 



.0703 EMPLOYMENT OF WOMEN/ 

MINORITIES IN ADMINISTRATIVE 
POSITIONS 

The s tate — board State Board encourages an 
expanding employment of women and minorities in 
administrative positions^ in those instances where 
qualified female applicants are available for such 
po s ition s . 

Statutun- Authoritx G.S. 115D-5:P.L. 88-352. 



.0604 CURRICULUM PROGRAM REVIEW 

Each college shall monitor the quality and viabil- 
ity of each of its curriculum programs. Each 
program shall be reviewed at least once every five 
years with regard to the achievement of its stated 
purpose, quality of instruction, curriculum design, 
cost, student outcomes, and contribution to the 
overall mission of the college. Summary reports 
of these reviews shall be transmitted to the System 
President^ of the Community College System. 

Statiitorx Authority G.S. II5D-5. 

SECTION .0700 - CIVIL RIGHTS 

.0701 CIVIL RIGHTS 

(a) The state board State Board requires that the 
Department and the in s titution s colleges comply 
with the provisions of the Civil Rights Act of 1964 
and other acts banning discrimination because of 
race, national origin, color, religion, sex, handi 
eapT disability, age or political affiliation. 

(b) Compliance Forms. State Board policy 
requires that all in s titution s colleges maintain 
up-to-date compliance forms for the 1964 Civil 
Rights Act, Section 504 of the Rehabilitation Act 
of 1973, and Title IX of the Education Amend- 
ments of 1972^ tmd — that — a — copy — of each 
in a titution' s current compliance form be filed with 
the office of the State Pre s ident. 



Authority- G.S. 115D-5: P.L. 
676.52. 



.0702 



-352; 45 C.F.R. 



EQUAL EMPLOYMEIVT 
OPPORTUT^ITY 

The s tate board State Board is committed to a 
policy of employment and assignment of personnel 
solely on the basis of qualifications and without 
regard to race, national origin, color, religion, 
sex, handicap, disability, age, or political affilia- 
tion. 

.Authoritx G.S. U5D-5: 45 C.F.R. 676.52. 



.0704 ADOPTION OF DESEGREGATION 
PLAN 

The State Board has approved "The Revised 
North Carolina State Plan for the Further Elimina 
tion of Racial Duality in Public Higher Education 
Sy s tem s . Pha s e II: 1978 1983 CommunityCollcg - 
e s and Technical In s titutes (State Plan: — Phase II)" 
and preliminary timetable s and e s timate s of annual 
costs to implement "State Plan: — Phase II," dated 
February 2, 1978. State board approval i s contin 
gent upon approval by the U.S. Department of 
Education and, in instances for which additional 



funds 



*^-tlw 



]s are required, — upon appropriation of 
required funds by the North Carolina General 

A ss embly. 

Statutory Authority G.S. 115D-5: P.L. 88-352. 

.0705 PROCEDURES FOR PROVIDING 
DESEGREGATION IMPACT 
INFORMATION 



f 



fa) — The s tate board approved those aspects o 
"The Revised North Carolina State Plan for the 
Further Elimination of Racial Duality in the Public 
Higher Education Systems, Phase A; 1978 83" (the 
Plan) that pertain to the s tate board, the depart 

inent, and the in s titution s . The department i s 

committ e d in the plan to report to the Department 
of Education, Office for Civil Rights, the impact 



ih 



c propose 



d actions listed below will have u 



pe- 



ft 



the further elimination of racial duality of public 

post secondary in s titution s . In s titutions are re 

s pon s ible for completing the desegregation impact 
s tatement when requesting state board approval for 
any of th e following action s : 

f4^ approval and funding of new construe 

tion or major expansion or renovation 
of facilities; 
>f- 



f3)- 



approval or new curriculum programs; 
approval of any contract to which any 
in s titution propo s e s to be a party — m 
contracted relationships with any other 
institution or agency, whether public or 



1549 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



private, for scrvioca to students or to 

staff of an institution; 
^4) approval to establish a new institution, 

ineluding tiie legal addition of a private 

institution to the Community College 

System, 
(b) The department i s responsible for reviewing 
the desegregation impact statement and making 
recommendations to the s tate board based upon 

such — review. Implementation of the requested 

action is contingent upon state board approval. — tn 
the event that a proposed action is not recommend 
cd for approval by the department the initiating 
institution may request a meeting to review the 
desegregation impact statement. For such review, 
additional information may be submitted. — The 
Department will make reports to the Department of 
Education. Office for Civil Right s , concerning it s 
commitment s in the plan. 



Statutory Authorin G.S. 115D-5:P.L. 88-352. 

SUBCHAPTER 2D - COMMUNITY 
COLLEGES: FISCAL AFFAIRS 

SECTION .0100 - SALARIES 

.0101 ESTABLISHING PAY RATES 

(a) The monthly and annual salaries or hourly 
rates of pay from state funds for full-time and 
part-time personnel in community colleges shall be 
established by the president of the college with the 
approval of the board of trustees of the college 
within the line item budget approved for the 
college by the State Board and in accordance with 
the regulations approved by the State Board, 
except that the state^funded portion of the salary of 
the president of a college shall be approved by the 
President — of the — Community — College System 
President in accordance with the state salary 
schedule for presidents. Salary increases shall be 
granted annually or upon promotion to a higher 
position. Legislative increases shall be granted 
according to requirements set forth by the General 
Assembly. The State Board shall adopt a mini- 
mum and maximum amount of state funds which 
may be paid to any individual working in a col- 
lege. In lieu of a salary table, the minimum and 
maximum amounts shall be based on the lowest 
and highest amounts used in the 1980-81 fiscal 
year and will be increased in subsequent years 
based on actions of the General Assembly. Indi- 
viduals shall be paid between the minimum and 
maximum amounts at a level determined by the 
salary approving authority at the college. 



(b) All hourly, monthly, and annual salaries for 
full-time or part-time personnel shall be certified 
by the president of the college and reported to the 
Department, department. 

fe3 Administrative — procedures, — forms, — and 

regulations for the implementation of the above 
policies s hall be developed by the Department. 

(c) fd) The State Board shall adopt a state salary 
schedule for presidents in the system. The Presi 
dent of the Community College System President 
shall determine the proper placement of a 
newly-hired president on the state salary schedule 
based on the size of the college and the 
individual's years of experience as a college 
president. The total salary' compensation for any 
pre s ident s hall not exceed the maximum amount 
for the salary grade. 

( 1 ) College size as determined by the total 
FTE served and reported in the enroll- 
ment reports furnished the department. 

(2) Number of years of experience as a 
college president: 

(A) Initial placement will allow credit for 
only 10 years of experience. 

(B) Progression from the minimum or "0" 
step to the midpoint or step "10" shall 
be based on additional years of expe- 
rience. 

Advancement toward grade maximum 
after attaining the midpoint of the 
grade shall be based on merit increas- 
es as recommended by the local 
boards and within state allocations 
available. 



iC] 



(D) Newly-hired presidents will not re- 
ceive salary increments for any years 
in which a salary freeze was in effect 
for community college presidents. 

(3) Changes in grade levels: 

(A) President with to 10 years of presi- 
dential experience moving to another 
grade shall be placed in the new 
grade's range at the current experi- 
ence level. 

(B) Presidents with greater than 10 years 
of experience moving to another 
grade will receive a salary adjustment 
only if the current salary exceeds the 
new salary grade's maximum salary 
limit, in which case, the salary will be 
adjusted to the maximum of the new 
grade. 

(4) Total salary compensation from all 
sources shall not exceed the maximum 
for the salary grade as determined by 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1550 



PROPOSED RULES 



(5) 



16] 



the college's size. Salary compensation 
is defined as those monies paid from 
u'hate\'er source for which no documen- 
tation or expense is required, or which 
is treated as salary for retirement bene- 
fit purposes. 

An interim president's salary will be set 
at the step of the salan,' grade for the 
respective college. Years of presiden- 
tial experience will be awarded up to 10 
years for placement on the appropriate 
step. 

Presidential salary grades shall reflect 
the following: 

Minimum 



FTE 

.Midpoint 



Maximum 



These data shall be increased annually 
based on legislati\'e action and reviewed 
no less than e\ery three years to assure 
their continued national competitive- 
ness, 
(d) Forms and instructions for the implementa- 
tion of this Rule shall be developed by the depart- 
ment and set forth in the department's Accounting 
Procedures Manual. 

Sraruron- Authorin- G.S. 115D-5: 115D-54. 

.0103 EDUCATIO\.4L LEAVE WITH PAY 

(a) The term "educational leave" as defmed in 
this Regulation refers to the release from duties or 
time normally required of a full-time employee in 
carrying out h+s the full load of responsibilities 
assigned. 

(b) Each local board of trustees shall adopt an 
educational leave policy for employees. State 
funds may be used to pay employee salaries while 
they are on educational lea\'e if the follov.ing 
criteria are incorporated in the local board of 
trustees trustees' policy: 

(1) The employee is employed full-time on 
a 9. 10. 11. or 12 month 9^ W^^ U^ 
or 12-month basis. 

(2) The employee must be under contract 
to the institution college for the next 
academic year. 

(3) Educational lea\'e will not exceed a 
period of 60 work dQ\'5 one uni\ersit\ 
semester a calendar year. 

(4) An employee who fails to honor the 
contract stipulated in Subparagraph 
(b)(2) of this Rule shall be required to 
repay the amount expended for the 
educational leave. If the employee 
fulfills a portion of the contract before 



failing to honor the contract, repayment 
shall be based on a pro-rata portion 
(e.g., if an employee works 4 months 
of a 12-month contract, a repayment of 
66.7 percent of the educational leave 
would be required). 



Statutory Authority 
115D-54. 



G.S. U5D-3: U5D-5: 



.0104 MILITARY LEAVE 

Leave with pay s hall be granted to members of 
reserx'c components of the U.S. Armed Forces for 
certain periods of active duty training and for state 
military' duty. — Reserve components of the U.S 
Forces are the National Guard, the Army Reserve, 
the Naval Reserve, the Marine Corp s Re s erve, the 
Air Force Reserve and the Coa s t Guard Reserve. 
The Ci\il ;\ir Patrol is not a reserve component: 
it is an Air Foroc Auxiliary' and its members are 
not subject to obligatory' ser^^iee. — The National 
Guard is unique among the re s erxe components in 
that it has a dual role, serving both a s a federal 
rcserx'c component and as the State Militia. — In it s 
role as the State Militia, the North Carolina Army 
National Guard and the North Carolina Air Na 
tional Guard respond to the Governor who is their 
Commander in Chief and s erve as th e military' arm 
of the state government. Therefore, the National 
Guard is subject to active state duty upon order of 
the Goxernor: 



ri^ 



Periods of Entitlement for All Rc s erxe 
Components. — .Militarv' lea\-e with pay 
shall be granted to full time or part time 
permanent — (prorated — for part time — e<«- 
ployces). provisional trainee and proba 
tionarv' employee s for 96 working hour s 
annually for any type of aetise militarv 
duty of a member not on extended active 
duty as defined below. — On rare occa 
sions — dtte — te — annual — training — (summer 
camp) being scheduled on a federal fi s cal 
year basis, an employee may be required 
to attend two periods of training in one 
calendar year. For in s tance, the employ 
ee — iftay — fee — required to — attend — annual 
training for federal fi s cal year 1980 in 
March and for federal fiscal \ear 1981 in 



November. 



iNovcmbor. — hor thi s purpo se only, an 
employee shall be granted an additional 
96 hours military' lea\e during the s ame 
calendar year as required. 

4^ Additional — Periods — of Entitlement — fer 

National Guard Members 



1551 



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SORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



^«^ Infrequent special activities in tho inter 

est of the state, usually not exceeding 
one day. when so ordered by the Gov 
ornor or his authorized representative; 

(b) Active state duty (domestic di s turbanc 

cs. disaster s , s earch and rescue, etc.) 
for periods not exceeding 30 eonsecu 
tive calendar days; For periods in ex 
cess of 30 days, employees shall be 
entitled to military leave with differen 
tial pay between military pay and regu 
lar state pay if military pay is the less 
ef-. — Military leave for active state duty 
is to be con s idered separate from and in 
addition to military leave which may be 
granted for other purposes. 
Period s — e4 — Entitlement — for — Civil — Atf 



(^ 



Patrol. When performing missions or 

encampment s authorized and requested 
by the U.S. — Air Force or emergency 
mis s ions for the State at the request of 
the Governor or the Secretary of Crime 
Control and Public Safety, a member of 
the Civil Air Patrol i s entitled to military 
leave not to exceed a combined total of 
96 hours (pro rated for part time employ 
e e s ) in any calendar year unless other 
wi s e authorized by the Governor. — Such 
service may be x'crified by the Secretary 
of Crime Control and Public Safety upon 
request of the employing agency. 

(4) Unacceptable Periods. — Employees shall 

not be entitled to military leave for the 
following periods: 

fa3 Regularly — scheduled — ttfwt — assemblies 

u s ually — occurring — on — weekend s — and 
referred to a s "drill s ." — Although these 
periods are unacceptable for military 
leave with pay. the employing agency i s 
required by federal law to excuse an 
employee for regularly scheduled mili 
tary training duty. — If necessary, the 
employee' s — work — schedule — shaH — be 
appropriately rearranged to enable the 
employee to attend the s e assemblies. 
To determine the dates of these regular 
ly scheduled unit assemblie s , the em 
ploying agency may require the em 
ployee to provide a unit training sched 
«+e — which — Itsts — training — dat es — for a 
month or more in advance. — Employing 
agencies arc not required to excuse an 
employee — for — military — service — pef- 
formcd under the circum s tance s defin e d 
in (b), (e). and (d) of this Item; 



{b) duties resulting from disciplinary ac 

tions imposed by military authorities; 

^e) for unscheduled or incidental military 

activitie s . — such as volunteer work at 
military — faciliti es . — unofficial — military 
activities, etc.; 



i^ 



m- 



ff¥ 



for inactive duty training (drills) per 
formed — fef — the — convenience — of the 



memb e r, such as equivalent trammg 
split unit assemblies. moJce up drills. 

iS) Admini s trative — Responsibilities. The 

president of the institution may require 
th e employee to s ubmit a copy of his 
orders or other appropriate documenta 
tion evidencing performance of required 
military duty. 



Retention and Continuation of Benefit s 



During the period of military leave with 
pay. no employee s hall incur any loss of 
state service or suffer any adver s e service 
rating. — The employee shall continue to 
earn and accumulate sick and annual 
leave, aggregate service credit, and re 
ceive any promotion or salary increase 
for which otherwise eligible. 



Leave — fef — Physical — Examination — fef 
Military Service. — An e mployee shall be 
granted necessary time off when required 
to undergo a physical examination relat 
ing to military service. 

(«3 Military Leave With Differential Pay. 

Military leave with differential pay be 
tween military pay and regular state pay. 
if military pay is the lesser, shall be 
granted for active s tate duty for periods 
in exce ss of thirty con s ecutive days. 

t93 Military Leave Without Pay. — Military 

leave v»'ithout pay shall be granted for 
certain — periods — of active — duty or for 
attendance at s ervice s chool s . Except for 
extended active duty u s e of all or any 
portion of an employee' s 96 hours annual 
military — leave — (prorated — fer — part time 
employees) with pay or regular annual 
(vacation) leave may be u s ed in lieu of or 
in conjunction with military leave without 
payr 

ffO) If additional — information — i« — required. 

reference should be made to the Noilh 
Carolina Office of State Personnel Manu 
air 

(a) The rules concerning military leave, codified 
as Title 25. Subchapter IE. Section .0800. are 
hereby adopted by reference including any subse- 



7:15 



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November 2, 1992 



1552 



PROPOSED RULES 



quent amendments and editions of these Rules to 
apply to community college system employees. 

(b) Copies of 25 NCAC. Subchapter IE, Section 
.0800 may be inspected in or obtained from the 
Office of the System President, Department of 
Community Colleges, 200 West Jones Street, 
Raleigh, North Carolina, 27603-1337. 

Siaiiaon Authority G.S. 115D-5: 127A-116. 

.0105 ANNUAL: SICK: MATERNITY: AND 
FUNERAL LEAVE AND HOLIDAYS 

Annual leave, sick leave, maternity leave, funeral 
loa\'o. civil leave and holiday leave policies shall 
be C L itablished by each local board of trustees and 
a copy filed with the State President. — Sick leave 
qualifs'ing for sick pay exclu s ion of social security' 
benefit s must conform to the guidelines developed 
by the Federal Government which defines qualify' 

tftg — stek — l e ave. (See — Accounting — Procedures 

Manual). 



Statutory- Authority G.S. 1150-5. 

.0109 LONGEVITY PAY PLAN FOR 
COLLEGE PERSONNEL 

(a) Employees of institutions colleges in the 
community college system assigned to permanent 
full-time or permanent part-time positions shall 
receive longevity pay if the employees meet the 
requirements of total qualifying service set forth in 
this Rule. 

(b) Total service for the longevity pay plan is 
based on a month-for-month computation of 
permanent full-time and permanent part-time (20 
hours or more, but less than full-time) employment 
with: 

( 1 ) an institution a college in the communi- 

ty college system or a school adminis- 
trative unit regardless of the source of 
salary and including state, local or 
other paid employment. 

(A) Employment for a school year is 
equivalent to one full calendar year 
(credit for a partial year is given on a 
month-for-month basis). 

(B) In no event will an employee earn 
more than a year of total service 
credit in a 12-month period. 

(C) If an employee is in pay status (work- 
ing, exhausting vacation or sick leave, 
or when on workers' compensation 
leave or is on authorized military 
leave) for one-half or more of the 
regularly scheduled workdays in a 



month, credit shall be given for the 
entire month. 

(2) departments, agencies, and institutions 
of the State of North Carolina, (e.g.. 
State Department of Administration, 
State Revenue Department, University 
of North Carolina, State Department of 
Community Colleges, State Department 
of Public Instruction). 

(3) other governmental units which are now 
agencies of the State of North Carolina 
(e.g., county highway maintenance 
forces. War Manpower Commission, 
judicial system). 

(4) county agricultural extension service. 

(5) local mental health, public health, 
social services or civil preparedness 
agencies in North Carolina, if such 
employment is subject to the State 
Personnel Act. 

(6) authorized military leave. 

(A) Credit for military leave is granted 
only for persons who were employees 
of the State of North Carolina or 
other agencies listed in Paragraph (b) 
of this Rule who were granted leave 
without pay: 

(i) for a period of involuntary service 
plus 90 days or for a period of 
voluntary enlistment for up to 
four years, plus 90 days, so long 
as they returned to employment in 
a covered agency within the 90 
days; or 

(ii) for a period of active duty for 
service, alerts, or required annual 
training while in the National 
Guard or in a military reserve 
program. 

(B) Employees who enlist for more than 
four years or who re-enlist shall not 
be eligible for military leave. 

(C) Employees hospitalized for a 
service-connected disability or injury 
shall be granted additional leave 
without pay for the period of hospital- 
ization plus 90 days or for 12 months, 
whichever is shorter. The hospitaliza- 
tion must commence before reinstate- 
ment into qualifying service for the 
provisions of this part to apply. 

(c) Total service for the longevity pay plan does 
not include: 

(1) Temporary service, that is, service by 
an employee who works in a temporary' 



1553 



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PROPOSED RULES 



position, or who is working temporarily 
in the absence of a permanent employee 
on leave of absence, except that tempo- 
rary service of employees of the Gener- 
al Assembly will be counted and the 
full legislative terms of the members. 
Service of legislative interns and pages 
will not be counted. 

(2) Periods of out-of-state employment with 
other states, schools, colleges or uni- 
versities. 

(3) Periods of employment with agencies of 
the federal government. 

(4) Periods of military service other than 
those categories described in Subpara- 
graph (b)(6) of this Rule. 

(5) Periods of employment for employers 
other than the State of North Carolina 
even though credit in the North Caroli- 
na retirement system has been pur- 
chased for such employment. 

(d) An employee assigned to a permanent 
full-time or permanent part-time position is eligible 
for longevity pay only after the date the employee 
has completed ten years of total service with a 
community college, a school administrative unit or 
a agency. 

(e) Annual longevity pay amounts are based on 
the length of total service to agencies, community 
colleges, and school administrative units as desig- 
nated in Paragraph (b) of this Rule and a percent- 
age of the employee's annual rate of pay on the 
date of eligibility. 

(1) Longevity pay amounts are computed 
by multiplying the employee's annual 
base or contract salary rate as of the 
eligibility date by the appropriate per- 
centage, rounded to the nearest dollar, 
in accordance with the following table: 



Years of Total State Service 


Longevity 




Fay Rate 


10 but less than 15 years 


L50% 


15 but less than 20 years 


2.25% 


20 but less than 25 years 


3.25% 


25 or more years 


4.50% 



(2) 



Longevity pay is not considered a part 
of annual base or contract pay nor is it 
to be represented in personnel and 
payroll records as a part of annual base 
or contract salary. (Salary increases 
effective on the same date as the lon- 
gevity eligibility date shall be incorpo- 



rated in the base pay before computing 

longevity), 
(f) The payment of longevity pay to eligible 
employees is automatic. Payment shall be made in 
a lump sum, subject to all statutory deductions, 
during the monthly pay period in which the em- 
ployee has satisfied all eligibility requirements. 

(1) Eligible employees on worker's com- 
pensation leave shall receive longevity 
payment in the same manner as if they 
were working. 

(2) If an employee retires, resigns, dies, or 
is otherwise separated on or after the 
date of becoming eligible for a longevi- 
ty payment, the full payment shall be 
made to the employee or to the estate of 
the employee in case of death. 

(3) If, on the effective date of this policy, 
an employee has completed the qualify- 
ing length of service but is between 
eligibility dates, longevity payment will 
be made on the next longevity anniver- 
sary date. 

(4) If the employee has worked part but not 
all of one year since qualifying for 
longevity payment, the employee shall 
receive a pro-rata payment in the event 
of: 

(A) separation from the institution; 

(B) change in employment status to tem- 
porary part-time, or to a position not 
covered in this policy. 

(5) If an employee separates from a com- 
munity college and receives a partial 
longevity payment and is employed by 
another community college, school 
administrative unit, or state agency, the 
balance of the longevity payment shall 
be made upon completion of additional 
service totaling 12 months for an em- 
ployee having a 12-month period of 
employment, or upon completion of a 
lesser term for an eligible employee on 
less than a 12-month period of employ- 
ment. The balance due is computed on 
the annual or contract salary being paid 
at the completion of the requirement. 

(6) If an eligible employee at the time of 
separation has a fraction of a year 
toward the next higher percentage rate, 
payment shall be based on the higher 
rate; however, the basic eligibility for 
longevity requirement must have been 
satisfied before this provision can ap- 
ply. 



7:15 



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November 2, 1992 



1554 



PROPOSED RULES 



(7) Leave without pay in excess of one-half 

the work days in a month (with the 

exception of authorized military leave 

and worker's compensation leave) will 

delay the longe\ity anniversary date on 

a month-for-month basis. 

(g) Longevity pay shall be made from the same 

source of funds and in the same pro-rata amounts 

from which the employee's regular annual salary 

is paid (e.g. state, federal, local funds). 

( 1 ) Local trustees may provide Ionge\'ity 
payments to employees from other than 
state allotted funds. 

(2) Onlv personnel employed in positions 
allotted by the formula in Rule 2D 
.0301(d) of this Subchapter shall re- 
cei\'e longevity pay from the longevity 
reser\e. .-^n additional allocation will 
be made for this purpose. 

(3) Employees in state-allotted positions 
paid with state-allotted funds other than 
regular formula allotments shall recei\'e 
longe%ity pay from the same source of 
funds as their salary payment. 

(4) Employees paid with the following 
specified funds shall receive longevity 
pay from these respective sources: 

(A) Adult basic education Basic Education 
funds. 

(B) Human re s ource — dovolopmont Re- 
source De\elopment funds. 

(Ci New industr\' Industn.' funds, 
(Di JTPA funds. 

(E) Special allotment funds. 

(F) Federal vocational educational Voca- 
tional Educational funds, and 

(G) Local funds. 

(h) The president of each community college 
shall: 

( 1 ) Determine the quantity of qualifying 
service and the longe\ity anniversary 
date for each eligible employee. 

(2) Furnish to the state board, on forms 
prescribed b\' the Department, depart- 
ment, data necessary for a determina- 
tion of the cost of the longevity pay 
plan from state funds. 

(i) The System President of the Community 
College System shall determine the total cost of the 
longe\ity pay plan from data submitted by each 
community college. If funds are not adequate to 
pay longevity rates established under this Rule, the 
System President of the — Community — College 
Sv s tem shall submit a budaet resision to the State 



Budget Officer requesting additional funds from 
other available sources within State Aid. 

Statutory Authority G.S. 115D-5; S.L. 1979. ch. 
1137. s'. 21. 

SECTION .0200 - STANDARD STUDENT 
FEES 

.0201 .ALTHORITi' TO EST.\BLISH 
TTTTION ANT) FEES 

(a) Authority to Charge. All tuition and fees 
charged to students for applying to or attending 
any institution college of the system must be 
appro\ed by the State Board. No tuition rate or 
fee schedule shall be charged without appropriate 
resolution of the State Board specifying the pur- 
pose for which the fee is charged. 

(h) Time Due and Deferred Payment. Tuition 
and required academic fees are due and payable at 
the time of the student's registration. The institu 
ti^ft college shall, with the approsal of the local 
governing board, prescribe written procedures to 
permit short-term deferred payment or payment in 
installments; provided, however, that no student 
shall be permitted to graduate or to register for a 
new quarter unless payment of such outstanding 
balance has been guaranteed in writing by a 
financially responsible person or organization. 
Institutions Colleges are authorized to withhold 
transcripts of grades pending resolution of the 
outstanding obligations. This statement shall not 
be construed to prohibit an in s titution' s a college's 
local go\erning board from adding more stringent 
proN'isions, if deemed advisable. 

(c) Establishing Additional Fees 

(1) In the event that the president and the 
governing board of an — institution a 
college believe that the in s titution col- 
lege needs to charge a student fee other 
than the fees already authorized by state 
statute or State Board regulation, the 
president of the institution college shall 
file with the State Board through the 
State Sx'stem President, a request for 
authorization which shall include the 
following documentation: 

(Aj a resolution of the local governing 
board requesting authorization of the 
fee. stating the exact rate of payment 
proposed: and 

(B) a brief explanation and justification 
stating the purpose of the levy. fee. 

(2) Any additional fee established by as 
institution a college which is approved 



/.r>" 



7:15 



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November 2, 1992 



PROPOSED RULES 



by the State Board is considered a 
separate charge to curriculum students 
and shall not be credited as part pay- 
ment of tuition. 

(3) Receipts collected from the levy of any 
special student fee shall be deposited as 
State Board regulation, consistent with 
state law, shall direct. The State Board 
may provide for special allocations to 
the institution, college, within the 
amount collected from the special stu- 
dent fee, in order to pay expenditures 
for the institutional college purposes 
approved by the State Board incident to 
authorizing the fee to be charged. 

(4) Nothing in any rule shall be construed 
to condone or to authorize any practice 
of depositing receipts from any student 
tuition and/or student fees in a special 
fund account at an institution, a college, 
except the student activity fee receipts 
authorized by G.S. 115D-39. 

(d) Additional Student Charges. The Board of 
Trustees may determine additional student charges 
for items such as tools, supplies, equipment, 
insurance, uniforms, and travel. Such charges 
should be kept to a minimum so as to be consistent 
with the State Board philosophy to keep student 
costs as low as possible. Students shall be in- 
formed of all approximate charges for a course at 
the time they enroll. Institutions Colleges shall 
inform the State Department department regarding 
all such charges and modifications. 

Authority G.S. 115D-5; 115D-39; 115D-54; 
116-143. 1; N. C. Constitution, Article IX. 

.0202 CURRICULUM 

(a) Tuition. 

(1) Student Residence Classification. 
Ref e rence should The classification of 
students for tuition purposes shall be 
made pursuant to the provisions of "A 
Manual to Assist the Public Higher 
Education Institutions of North Carolina 
in the Matter of Student Residence 
Classification for Tuition Purposes." 
authorized by the State Board for use in 
this area. 

(2) Tuition Rates In-State. 

(A) A general and uniform tuition rate is 
established by the State Board for 
full-time curriculum students ©f 
thirty nine dollars ($39.00) per quar- 
ter for North Carolina residents. 



(B) A North Carolina resident who is a 
part-time student shall pay three 
dollars and twenty five cent s ($3.25) 
a per credit hour rate for curriculum 
instruction, but not to exceed total 

payments ef — thirty nine — dollars 

($39.00) as established by the State 
Board, for such tuition in any quarter. 
The — formula — fef — computation — ef 
credit hour — equivalency — and — credit 
hours — mte — tuition — charges — fer 
part time curriculum instruction shall 
be as follows: 

(t) 1 cla ss hour = 1 credit hour, 

(ti^ 3 — laboratory — hour s — = — I — credit 



0^ 



hour, 

3 shop hours 



1 credit hour. 



1 quarter credit hour X $3.25 = 
tuition — per — quarter — but — net — te 
exceed $39.00 total per quarter. 

(3) Learning Laboratory. No tuition fees 
charged. 

(4) Tuition Creditable Upon Transfer of 
Student. When a student has paid the 
required tuition at an institution a col- 
lege and is given permission to transfer 
to another institution college within the 
system during the academic quarter for 
which the fees were tuition was paid, 
the institution college from which the 
student transfers shall issue to him a 
statement certifying the amounts of 
tuition that have been paid, and the 
institution college to which he is trans- 
ferring shall accept such certificate in 
lieu of requiring payment of the same 
again. 

(5) Tuition Student Enrolled in More Than 
One Institution. College. Where a 
student desires to enroll for the same 
quarter at two or more institutions 
colleges of the system, the total amount 
of tuition and fees may be paid to the 
student's "home" in s titution, college. 
The home institution college shall, in 
that case, assume responsibility for 
arranging with the other in s titution 
college or institutions colleges for 
enrolling the student in appropriate 
classes without further charge. Such 
arrangement shall be made by exchange 
of letters between the institutions col- 
leges involved. Student membership 
hours for instruction received shall, in 
any event, be reported by the institution 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1556 



PROPOSED RULES 



college in which the respective instruc- 
tion occurred. 

(6) Tuition Rates Out-of-State. 

(A) Any full-time curriculum student who 
is an out-of-state resident shall pay 
tuition fees as follows: seven hundred 
ninety two dollar s ($792.00) for th e 
year, — &f — &fte — hundred — ninety eight 
dollar s ($198.00) established by the 
State Board for each quarter. 

(B) An out-of-state resident who is a 
part-time student (regi s tered for le ss 
than 12 credit hour s in a given quar 
tef^ shall pay sixteen dollars and Fifty 
cents ($16.50) a per credit hour rate 
for curriculum instruction as estab- 
lished by the State Board. 

(7) Tuition Exemptions. 

(A) Senior Citizens. North Carolina 
residents. 65 years of age and older, 
shall be exempted exempt from the 
payment of curriculum tuition, afld 
extension registration fees in aecor 
dance with Chapter 981 of the 1977 
Ses s ion Laws. FTE credit shall be 
given for the enrollment of these 
students on the same basis as students 
who pay tuition. 

(B) Prison Inmates. No tuition or fee s of 
any kind shall be charged curriculum 
or exten s ion students who are prison 
inmates. 

(C) Institutional College Staff Members. 
Full-time college Institutional staff 
members may enroll in one curricu- 
lum or extension course per quarter in 
the system without payment of tuition. 

Of — regi s tration — fee charge s . (Thi s 

exemption applies to full time staff 
members only.) 

(D) High School Students. High school 
students taking courses at community 
colleges pursuant to 23 NCAC 2C 
.0305 of this Chapter are exempt 
from tuition and registration fees . 

(E) Basic Law Enforcement Training 
Program (BLET) for law enforcement 
officers. All law enforcement officers 
employed by a municipal, county, 
state, or federal law enforcement 
agency when taking courses in a 
state-mandated BLET training pro- 



gram, are eligible for the tuition 



waiver. 



(b) Pre- Enrollment Deposit. When a prospec- 
tive student has made application for admission 
and has been accepted, r e gi s ter s in advance of the 
opening of the regular registration period of a 
quarter, the student may be required to pay an 
enrollment advance deposit as established by the 
State Board, for the classes for which registered 
up to a maximum of fifteen dollars ($15.00). This 
advance payment is not refundable unless covered 
by the refund policy stated in Subparagraph (f e) 
(1) of this Rule. This advance payment shall be 
deposited to the State Treasurer and credited 
against the full tuition charges due from the stu- 
dent during the regular registration period. 

(c) Enrollment Fee (Late). A late enrollment 
fee &f set by the State Board up to five dollars 
($5.(X)) may be charged curriculum students 
registering after the specific closing date of regis- 
trations, with such fees becoming state funds. 

(d) Uniform s . Student uniforms or other special 
wearing apparel s hall not be paid for from state 
budgeted funds except in the ease of those eductt ' 
tional program s (e.g. — LPN) where it is found 
nece ss ary by the State Board that the wearing of 
uniforms be required. 

(d) (e) Student Activity Fee. Institutions Colleg- 
es may establish a student local activity fees fee 
which may include a parking fee or a scheduled 
N'ehicle registration fee. However, students shall 
not be assessed a parking fee, a vehicle registra- 
tion fee, or a similar fee m addition to the estab- 
lished student activity fee. The maximum amount 
charged for the student activity fee shall be deter- 
mined by the State Board, net — t© — exceed 
twenty eight dollars ($28.00) per student per fiscal 
year. — (This maximum is intended to include any 
s cheduled — parking — fee.) Funds derived from 
collection of a student activity fee wtW shall be 
accounted for and expended under standing proce- 
dures and regulations adopted by the local govern- 
ing board of the H»tifut+&ftT coUege^ Any expendi- 
ture from the fund must be related directly ie 
benefit students, student activities. 

(e) ff) Tuition Refunds. 

( 1 ) A refund shall not be made except 
under the following circumstances: 

(A) A full refund may be made upon 
request of the student jf the student 
officially withdraws from the class(es) 
within 10 calendar days after the first 
day of class as published in the col- 
lege calendar. 

(B) A letter of credit may be issued at the 
discretion of the college president or 
designee upon the written request of 



1557 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



iCl 



ey- 



the student at any time after the 10th 
calendar day. If the letter of credit is 
issued, the student shall not be report- 
ed for budget/FTE purposes. The 
letter of credit must be used by the 
student to whom it was issued within 
one year from the date of issuance. 
The letter may be used at any college 
in the system. 

For classes beginning at times other 
than at the beginning of the quarter, 
apply the same provisions set forth in 
Part (1)(A) and (B) of this Paragraph 
except use 10 calendar days from the 
first day of the class(es) as the deter- 
mination date. 



be 



fl-) Tuition refunds for students shall not 

made unles s the student is, in the judg 
mcnt of the institution, compelled to 
withdraw for unavoidable reasons. — k> 
such cases, two thirds of the s tudent' s 
tuition may be refunded if the student 
withdraws within 10 calendar days after 
the first day of cla ss e s a s publi s hed in 
the school ca l endar. — Tuition refunds 
will not be considered after that time. 
Tuition refunds will not be considered 
for tuition of five dollars ($5.00) or 
less, except if a course or curriculum 
fails to materialize, all the s tudent s ' 
tuitions shall be refunded. 

{S) In order to comply with federal rcgula 

tions in institutions not regionally ac 
credited. — the — State — Board — authorized 
modification of the tuition refund policy 
so that veterans or war orphans receiv 
ing benefit s under U.S. Code. Title 38, 
Chapter s 33 and 35. can be refunded 
the pro rata portion of the tuition fee 
not used up at the time of withdrawal of 
such s tudent s . 



-^Wht 



id the 



lere a s tudent, having pam the re 
quired tuition and fee s for a quarter, 
withdraw s from the institution before 
the end of the quarter and the rea s on s 
for the withdrawal are found excusable 
by the in s titution's administration, the 
s tudent — may — be — allowed — credit — fer 
unrefunded tuition and fees if he applies 
for readmission during any of the next 
four calendar quarters and petitions in 
writing to be allowed s uch credit. 
(2) To comply with applicable federal 
regulations regarding refunds to indi- 
viduals or groups, federal regulations 



will supersede the state refund regula- 
tions stated in this policy. 
(3) f4) Where a student, having paid the 
required tuition and fees for a quarter, 
dies during that quarter (prior to or on 
the last day of examinations of the 
in s titution he college the student was 
attending), all tuition and fees for that 
quarter may be refunded to the estate of 
the deceased. 

Authority G.S. 115D-5: 115D-54; 116-143.1; N. 
C. Constitution. Article IX; P.L. 93-508. 

.0203 EXTENSION PROGRAMS 

(a) Registration fees for Non-Curriculum Exten- 
sion Instruction. For purposes of administration of 
this Rule, non-curriculum extension instruction 
means all instruction organized, supervised, or 
delivered by an instructor or in s tructor s a ss igned 
respon s ibility for the teaching — of any — defined 
category of subject matter or special skills to be 
presented and developed through a s ingle course, 
or through any discrete training program or train 
iftg — project organized — and offered outside the 
regular currieulums curriculum programs offered 
by the in s titution, college. 

(1) A registration fee^^ as established by the 
State Board, of eight dollar s ($8.00) 
shall be charged for each occupational 
extension class, or academic course 
and fifteen dollars ($15.00) shall be 
charged — for each — practical — alcills — &f 
avocational course when such couisc is 
s upported — primarily — by — state — fund s 
except as otherwise specifically provid 
ed for in the following Subparagraphs. 

(2) A registration fee shall be charged for 
each extension class of 17 weeks or 

lesih A — regi s tration — fee — shall — be 

charged each — 13 weeks for exten s ion 
classes lasting longer than — 17 weeks. 
Each local board is delegated the re- 
sponsibility to establish registration fees 
for Community Service Programs (aca- 
demic, practical skills, avocational. and 
cultural/civic activities). 

(3) All recreational courses are must be 
self-supporting. 

(A) In s titution s Colleges are required to 
collect and deposit to a local account 
fees and other contributions in suffi 
cicnt amounts to support entirely the 
costs of all recreational extension 
courses taught during the school year. 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1558 



PROPOSED RULES 



(B) Also, note Paragraph fe) {bj of Rule 
■m^ .0325 of this Subchapter re- 
garding the reporting of student mem- 
bership hours for this area. 

(4) A registration fee shall be charged for 
each extension class of \1_ weeks or 
less. A registration fee shall be 
charged each 13 weeks for extension 
classes lasting longer than 17 weeks. 

(5) (4^ Extension Registration Fee Exemp- 
tions: 

(A) Special Extension Training Programs. 
No fees of any kind shall be charged 
students enrolling for special exten- 
sion training programs set forth in 
G.S. 115D-5(b). 

(B) Senior Citizens. No extension regis- 
tration fee shall be charged senior 
citizens attending institutions, colleg- 
es. "Senior Citizens" are defined to 
mean persons age 65 or older who are 
North Carolina residents. 

(C) Institutional College Staff Members. 
Full-time institutional college staff 
members may enroll in one extension 
or curriculum course per quarter in 
the system without registration fee or 
tuition charges. 

(b) Self- Supported Courses. An institution A 
college shall have the authority to sponsor 
self-supporting courses, recreational courses [see 
23 NCAC 2E .0101(e)(2)]. and community s ervice 
courses [see 23 NCAC 2E .0101(c)(1)]. deposit 
income (if any) to a local account, and pay all 
expenses from such local account. However. 
s tudent member s hip hour s produced from s uch 
activitie s s hall not be counted for inclu s ion when 
computing FTE for use in budget funding formulas 
at the s tate level. 

(c) Driver Education. In s titution s Colleges are 
required to collect a student fee as established by 
the local board of trustees of eight dollars ($8.00) 
for the 5 4 hour adult driver education training 
course offered through the community service 
program, exten s ion program, such fee shall be 
depo s ited a s s tat e funds. The institutions may also 
charge each s tudent a fee to pay non per s onnel 
cost s (car operation, admini s trative fee on loan 
car s , and in s tructional materials) at rates in keep 
ing with the actual cost a s determined by the s tate 
board. — Such fees shall be deposited to s tate flind s 
and shall be ax-ailable for reallotment to the in s titu 
tion s ba s ed upon written iusiitloation. — The admin 
istratiw fee on loan car s s hall be compatible with 
the rate established bv the State Board of Educa 



tion for the comparable high school program. 

These funds may be used to purchase gasoline, oil, 

and car in s urance, and to pay car loan administra 

tivc fee s , and other essential expenditures. 
(d) Refunds for extension courses. — Registration 

fee refund s s hall not be made unles s a class fails to 

develop. 
(d) Registration Fee Refunds. A refund shall 

not be made except under the following circum- 

stances: 

A full refund may be made upon re- 
quest of the student if the student offi- 
cially withdraws from the class(es) 
prior to or on the first day of the 
class(es). 
A letter of credit may be made at the 



ill 



ill 



discretion of the college president or 
designee after the first day of class(es) 
upon written request of the student at 
any time during the quarter. Under this 
circumstance, the student shall not be 
reported for budget/FTE purposes. The 
letter of credit may be used at an\ 



college in the system, but it must be 
used by the student to whom it was 
issued within one year from the date of 



issuance. 



ill 



For classes beginning at times other 
than at tlie beginning of tlie quarter, 
also apply the same provisions as set 
forth in this Paragraph. 



Statutory Authority G.S. 
115D-54. 



115D-I; 115D-5: 



.0204 OTHER FEES 

(a) Equipment Fees. A local equipment fee may 
be established, not to exceed the fee charged high 
school students, in cases where high school build- 
ings and equipment are being used: such fees shall 
be deposited in the college's local account and paid 
to the local school unit. 

(b) Damage or Breakage Fees. Colleges shall 
charge no breakage fees, property-damage fee, oi' 
laboratory fee to students, but except in tlie case of 
breakage or damage due to gross negligence or 
maliciousness. a student shall be expected to 
remunerate the college. — Ht* Credit may be with- 
held until proper payment is made. 

(c) Library' Fines. All library' fines, except 
book-replacement fines, shall become local funds 
and be used for improvement of the library. 

(d) General Educational Development (GED) 
Fee. All applicants who take the GED test at 
official GED Testing Centers in the system are 



1559 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



required to pay a fee established by ttie State 
Board. This fee shall not be required from indi- 
viduals incarcerated or receiving treatment in 
institutions operated by the Department of Correc- 
tion and the Department of Human Resources. 

Statutory Authority G.S. 115D-5; 115D-54; S.L. 
1979. ch. 1300. 

.0205 DEPOSIT OF FEES 

All registration, tuition, and instructional fees 
and book replacement fines shall become state 
funds when collected and must be deposited to the 
credit of the State Treasurer. as provided in 
Chapter 1 15D, General Statutes of North Carolina. 

Statutory Authority G.S. 115D-5; 115D-54; 
115D-58.3. 

SECTION .0300 - BUDGETING: 
ACCOUNTING: FISCAL MANAGEMEIVT 

.0301 OPERATING BUDGET REQUESTS: 
DISTRIBLTION OF FUNDS 

fa) — General : 

{i^ One full time equivalent (FTE) student 

represent s sixteen s tudent membership 
hours per week for 1 1 — v^'ccks or 176 
student — membership — hour s — fef — each 
quarter enrolled. 

(3) Rule 23 NCAC 2D .0328 sets forth the 

specific categories for which FTE shall 
be calculated. 
(a) -(3-) Projections of full-time equivalent (FTE) 
students will be based on the following: 

(1) {A} Curriculum FTE projections will be 
based on the three-quarter academic 
year (fall, winter, spring). 

(2) fB) Continuing education FTE projec- 
tions will be based on the feH latest 
spring, summer, fall, and winter 
four-quarter fiscal year (summer, fall, 
winter, s pring), average. 

(3) {Gi Projections will be made, program 
by program, utilizing actual FTE for 
the most recent five year period, as 
stated [n Subparagraph (a)( 1) and (2) of 
this Rule. If the actual FTE for the 
quarters needed are not available, the 
latest actual quarter will be multiplied 
by the latest five-year retention ratio to 
determine the appropriate estimates. 

(4) i&) The State Board may adjust the 
projections based on additional factors 
brought to its attention. 



(5) (E) The State Board will adopt an 
official projection of FTE. 

(b) Appropriation Requests; 

(1) Continuation Budget Requests. The 
continuation budget request will be 
based on the number of FTE and 
amount per FTE currently appropriated 
and increases in the continuation budget 
as directed by the Office of State Bud- 
get and Management. Also included in 
the continuation budget requests will be 
continuing categorized programs, that 
afe — funded — apart — from — the — formula 
budget such as new industry, human 
resources development, etc. 

(2) Expansion Budget Requests. The ex- 
pansion budget requests may consist of, 
but is not limited to. the following 
items: 

(A) an adjustment in the number of FTEs 
in existing programs based on the 
difference between the official FTE 
projections of the State Board and the 
existing level of FTEs requested in 
the continuation budget. 

(B) an adjustment in expenditure per 
FTE, 

(C) additional funding for new and special 
programs of instruction. 

(c) Allotment State Board Reserve. A reserve 
will be requested from the General Assembly and 
shall be retained by the State Board for the pur- 
pose of making later allocations for enrollment 
growth, innovative programs, new concepts, etc. 

(d) Formula distribution of funds for the current 
operation budget. Funds appropriated to the State 
Board of Community Colleges for current opera- 
tion shall be allocated to the system colleges in 
accordance with formulas and procedures estab- 
lished by the State Board, of Community Colleges, 
or as directed by the General Assembly. Formulas 
and procedures to allocate funds shall be pub- 
lished in the department's Accounting Procedures 
Manual. North Carolina Department of Communi 
ty Colleges. 

(e) JTPA Administrative Allotment. Student 
class hours for class size projects funded by the 
Job Training Partnership Act (JTPA) may not be 
included in the full-time equivalent (FTE) formula 
for earning budget/FTE. Administrative funds for 
operating these class size projects shall be allocat- 
ed on the same basis as all other administrative 
formula funds. 



7:15 



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November 2, 1992 



1560 



PROPOSED RULES 



Statutory Authority G.S. 115D-3: 115D-5: 
115D-54. 

.0302 GENERAL PROVISIONS: FORMLXA 
ALLOTMENT OF OPERATING 
FL'NDS 

fa-t — A lump sum amount, baaed on the appliea 
tion of the formula, will be made to each institu 



tion as soon as possible after the Appropriations 
Act has been adopted by the General Assembly. 
At the same time, eaeh in s titution ^111 be notified 
of any restrictions that ha\e been imposed upon 
the use of the s e funds. 
fb-> — Institutional Budget Preparation 



Each institution 



sheH- 



tst- 



f^ 



prepare and s ub 
mit for approval, on forms supplied by 
the Department, a line item budget in 
accordance with G.S. 1 15D 5 4 . 
In wars in which the General . - Vssembly 
is in session, the following method of 
budget preparation shall be u s ed: 
fA) — Budgets shall be s ubmitted in accor 
dance with G.S. 1 15D 5 4 . with initial 
budgets for s tate fund s ba s ed on th e 
s ame lexel s as the current year. 
{&) — jMter the institution s ha\e been noti 
fied of the actual allotment of state 
fund s and the restrictions that may be 
imposed upon the expenditure of these 
fund s , a re\i s ed budget shall be pre 
pared and — s ubmitted — in accordance 
with G.S. 115D 5 4 . 
4 



nstitutional — budget s — s ubmitted — fef 
approval — ifl — accordance — v¥rth — G.S. 



15D 5 4 shall be rex 



sd — h\ — tfee 



department to assure compliance with 
allotments and budget restrictions. 
k^ — .Monthly Report. — Actual expenditures, by 
line item, and requests for certification of fund s 
shall be s ubmitted monthly in a manner s pecified 
by the Department. 
fd4 — Transfer s Between Budget Items 



f4-t- 



The following line items as the\' relate 



te — state — fund s cannot — have tran s fer s 
made into them without prior approval 
of the State Board: 

fA4 — college transfer. 

f-B-) — recreational programs. 

fG-i — plant operations and maintenance. 



f©-» — capital outlay. 

t3-) The following line items as thc\' relate 

te — state funds cannot — have tran s fer s 



made out ot them without prior approv 
al of the State Board: 
+Ah — adu l t high s chool. 



fB) — plant operations and maintenance. 
{Qj — capital outlay. 

i%^ The following line items as they relate 

t« — s tate fund s cannot have transfers 



made 



ith th 



e ap 



out ot them except w 
proval of the Department: 
■fA) — new industry training, 
fft — employee benefits. 
fe^ — Institutions are encouraged to determine as 
soon as possible the amount of funds, if any. 
which they can release for reallocation to other 
in s titution s . 

ff) — The State Board may. from funds available 
to it from the on e percent FTE reserve, voluntarily 
reverted — fund s — and other funds which — mav be 
available — to the — State — Board. — consider malcing 
special allotments to individual institutions on the 
ba s i s of documented emergency or special needs. 
fg-i — The Department may mal ' ce supplemental 
allotment s during the fiscal year when properly 
justified, subject to the axailability of funds. — tAH- 
such supplemental allotments shall be reported to 
the State Board. 



Statutory Authority G.S. 115D-5: 1150-54. 

.0303 DISBLTISEMENT OF STATE FUSDS 

G.S. 115D58.3 requires that state State funds 
expended by the institutions colleges shall be 
disbursed through a disbursing account established 
for each institution college with the State Treasur- 
er. The signature of persons authorized to sign 
vouchers issued on state funds shall be maintained 
on file with the State Treasurer and the State 
Board. The State Treasurer will furnish signature 
cards for this purpose. 

Statutory Authority G.S. 115D-54: 115D-55: 
1150-58.3. 

.0304 EXPENDITLTIES OF ST.\TE FLTsDS: 
ACCREDIT.\TION EXPENSES & 
DUES 

Expenditures of state funds for accreditation 
expenses and dues shall be in accordance with 
procedures set forth in the department's Account- 
ing Procedures Manual. 



fft^ — Accreditation expenses relative to Southern 
Association of Colleges and Schools may be paid 



ffef 



s tate tiind s within the institution' 



current 

allotment. The s e expenses s hall be limited to 

payment — ef — travel. — s ub s i s tence. — lodging. — and 
honorarium — incurred — by — members — »f — xisiting 
committees, other bona fide reprcsentatixcs. and 
members of the staff of accrediting organizations. 



1561 



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November 2, 1992 



PROPOSED RULES 



This Rule permit s payment of only those expen s es 
for which an institution is customarily invoiced by 
an accrediting organization following a visit. 

(b) The institution may pay from state funds the 
required annual dues of the Southern Association 
of Colleges and Schools, and s uch in s titutional 
association — membership — d«es — as — the board of 
trustees deems to benefit the institution. — Regard 
ing member s hip dues in the Southern Association, 
this Rule applie s to annual dues of corre s pondent s 
and candidate s for member s hip, a s well as accred 
itcd members. 

(c) The institution may also pay from state funds 
the fees for accrediting individual program s of 
fcrcd by the institution where such an accreditation 
is — afl — official — prerequi s ite — for the — licensing of 
graduates of such programs by legally designated 
professional or occupational licensing boards or 
agencies in the State of North Carolina. — State 
funds may not be used to pay the accreditation 
costs of any other organizations or agencies. 

Statutory Authority G.S. 115D-5: 115D-55. 

.0305 EXPENDITURE OF STATE FUNDS: 
POSTAGE MACHINES 

State funds may be used to rent postage machines 
in accordance with the procedures set forth in the 
department's Accounting Procedures Manual. 

If the volume of mail justifies the rental of a 
postage machine, the cost of the rental fee for the 
machine may be paid from s tate fund s and charged 
to budget subhead 7120. po s tage. 

Statuton,- Authorit^■ G.S. 115D-5: I15D-54. 



.0306 EXPENDITURE OF STATE FUNDS: 
GREETING CARDS 

The purchase of greeting cards and also the 
postage to mail them arc not proper expenditures 
from state funds. 

Statutory- Authority' G.S. 115D-5: 115D-54. 



.0307 EXPENDITURE OF STATE FUNDS: 
CERTIFICATE COSTS 

State funds may be used to obtain certificates, 
diplomas, or degree forms m accordance with 
procedures set forth in the department's Account- 
ing Procedures Manual. 

Printed certificates, diplomas, or degree s pro - 
duced through printshops at the institution may be 
paid from state funds available for Supplies and 

Materials. If these — certificates. — diplomas. — of 

degrees are ordered from a commercial printshop. 



the cost can be a part of the graduation fe e 
charged to the student. 

Statutory Authority G.S. 115D-5; 115D-39. 

.0309 EXPENDITURE OF STATE FUNDS: 
TRAVEL AND ALLOWANCES 

Travel regulations governing travel for institu 
tional college personnel are published in section 
number — five — ©f the department's Accounting 
Procedures Manual, published by the State Board. 
These Regulations can be obtained from the De 
partment of Community Colleges, Raleigh, North 
Carolina. 

Statutory Authority G.S. 115D-5; 1150-54. 

.0310 LIVE PROJECTS 

(a) Live projects are defined as: 

(1) educational programs in which students, 
as part of their educational experiences, 
repair or remodel equipment not owned 
by the institution college ; or 

(2) educational programs that produce 
goods that are sold or services for 
which charges are made, such goods or 
services being the normal and necessary 
product of learning activities of stu- 
dents. 

(b) In the case of (a)(1) of this Rule, the owner 
of the equipment must supply or pay for all parts 
required. In the case of (a)(2) of this Rule, the 
following regulations apply: 

(1) Where federal programs such as CETA 
are involved, federal regulations do not 
permit goods to be sold. In such pro- 
grams, goods produced may be used for 
the benefit of the in s titution college or 
donated to another non-profit charitable 
or educational agency or institution. 

(2) For live projects that involve the pur- 
chase of equipment from the state or 
federal surplus property agency, the 
repair of this equipment and its sale as 
surplus under the regulations of the 
State Division of Purchase and Con- 
tract, the proceeds of such sales shall 
be deposited with the State Board and 
credited to the equipment budget of the 
institution college . 

(3) In other programs that fall under the 
above definition of live projects: 

(A) The local board of trustees shall 
approve regulations, consistent with 
state laws and regulations, covering 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1562 



PROPOSED RULES 



the disposal of goods and services, 
charges made, etc. 

(B) The local board of trustees shall 
provide that the receipts be deposited 
to the State Treasurer (unless a "spe- 
cial local" fund account arrangement 
has been worked out in keeping with 
regulations of the department). Re- 
ceipts deposited to the State Treasurer 
under this provision shall be allotted 
back to the institution college for 
expenditures during the same fiscal 
year. 

(C) Where a "special local" fund arrange- 
ment is set up as provided in (b)(3)(B) 
of this Rule, all costs made necessary 
because goods and/ or services are 
produced and then sold shall be paid 
from the "special local" account that 
receives the income. This includes 
materials used in producing the goods 
and services, extra personnel required 
to serve customers, specialized equip- 
ment that would not otherwise be 
required for instruction alone, and 
other costs directly related to a live 
project as distinguished from an in- 
structional program that does not 
produce income. Detailed records 
must be maintained on the special 
local fund account in order that peri- 
odic financial statements may be 
prepared and a complete audit of the 
account made after the close of the 
fiscal year. 

(D) Where a "special local" fund arrange- 
ment is set up as provided in (b)(3)(B) 
of this Rule, the local board of trust- 
ees shall adopt regulations, consistent 
with procedures established by the 
Department of Community College 
department's Accounting Procedures 
Manual, which set forth the purposes 
for which funds from the special local 
fund [in excess of those required 
under part fb)(3)(C) of this Rule] may 
be used. Such funds shall not be used 
to supplement regular salaries of 
permanent employees whose base 
salaries are paid from state or local 
appropriations. 

(c) The clientele served in providing clinical 
experience for students by carrying on live projects 
shall be limited to students and employees in the 
system so far as possible. Where, however. 



outside clients become necessary in order to 
provide enough experience to carry out educational 
programs, clients should be selected from the 
general public on the basis of standing criteria 
adopted and published by the institution college , 
not inconsistent with State Board policies. 

(d) The above regulations, except those under 
(b)(2) of this Rule, do not apply to the disposal of 
any state owned equipment, which must be de- 
clared surplus and sold by the State Board. 

Statutory: Authority G.S. 115D-4; 115D-54; P.L. 
97-300. 

.0311 HANDLING OVERHEAD RECEIPTS 
AND ALLOWANCES 

Funds accruing to an institution a college as 
federal allowances, including overhead allowances 
on federal grant projects, veteran student process- 
ing per capita allowances, work study processing 
allowances, and similar items and similar allow- 
ances derived from private grant projects, shall be 
deposited in a special local fund to be used by the 
institution college to fund special projects proposed 
by the in s titution college and approved by the State 
System President consistent with provisions set 
forth in the department's Accounting Procedures 
Manual. 

Statutory Authority G.S. 115D-5; 115D-54. 

.0312 BOOKSTORE: VENDING MACHINE 

(a) The rules governing the expenditure of funds 
derived from bookstore sales by community colleg- 
es shall be consistent with the mission and purpose 
of the community college system. The guidelines 
for budgeting, accounting, and expenditure of 
funds generated through the bookstore shall be 
published in the department's Accounting Proce- 
dures Manual. 

(b) The board of trustees of each institution 
college shall adopt local policies consistent with 
G.S. 1 15D 58.13 these guidelines for the budget- 
ing, accounting and expenditure of funds generated 
through book s tore operating profits and vending 
machines and other convenience concession activi- 
ties. 

Statutory Authority G.S. 115D-58.13. 

.0313 ACQUISITION OF AUTOMATED 
DATA PROCESSING (ADP) 
RESOURCES 

All requests to purchase, lease, or rent automated 
data processing resources (hardware, software, or 



1563 



7:15 



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November 2, 1992 



PROPOSED RULES 



services) from any public funds shall be submitted 
to the department for approval. Forms and in- 
structions for the implementation of this Rule shall 
be developed by the department and set forth in 
the department's Accounting Procedures Manual. 

{V) In submitting a request, the in s titution 

sheik 

{et) anticipate and document through plan 

ning the need for ADP resources; 

ification and an evaluation 



t^ 



prepare spec 

plan for procurement selection; and 

evaluate proposals and bids. 



(3^ During the initial phase of the approval 

process, the in a titution shall contact the 
department and arrange a conference in 
order — to — obtain — detailed — in s truction s 
which — must be followed through the 
acquisition process. 

i^ tfl — addition — the — conference — may — als© 

include representatives of the MIS Divi 
sion of the Department of Admini s tra 
tion, the Division of Purcha s e and Con 
tract, and the State Auditor. — In s ome 
cases, when the acqu is ition cost i s rcla 
lively low and/or replacements arc being 
requested the conference may be waived 
at the department' s option. 

Statutory Authority G.S. 115D-5; 143-49. 



.0314 DISTRIBUTION OF FEDERAL 

VOCATIONAL EDUCATION FUNDS 



State Board of Cc 



-GeHt 



and State 



oT Lommunity colleges 
Board of Educat i on policie s for di s tributing Feder- 
al funds allocated to the state from the Carl D. 
Perkins Vocational and Applied Technology 
Education Act shall Vocational Education Act s are 
as follows: 

{-!-) The following funds to be distributed 

one-third to the community college sys- 
tem and two-thirds to the public school 
system and in accordance with the ap- 
proved State Plan. 



W- 



part A 



(b^ part A 



part A 



{^ part A 



fe) part A 



disadvantaged; 



handicapped; 
s ubpart 2; 



subpart 3; 



subpart 4 ; 



(33 Part A. Consumer and homcmalcing 

funds. — 100 percent to be used in the 

public school s y s tem; 
(^) Part A. Post secondary set a s ide. — 1-00 

percent to Community College System; 
(4) In the event that the community college 

system or the public school system is 



unable to use the federal funds as provid- 
ed for in this Rule as determined by the 
State System President and the State 
Superintendent, the excess funds may be 
used by the other system as needed. 

Statutory Authority G.S. 115D-5; 115D-31; P.L. 
90-576. 

.0317 CATEGORIES OF FULL-TIME 
EQUIVALENTS 

{et) — The term "FTE" means the actual FTE 
developed from student membership hour s reported 
on an appropriat e form for a given — quarter. 
"Average annual FTE" means the average of the 
s ummer, — f&ti-, — winter. — and — s pring — FTE or the 
average FTE developed over an entire s chool year. 
The average annual FTE is published yearly in the 
Annual Enrollment Report. "Four quarter average 
FTE" i s the average of the FTE developed in any 
consecutive four quarter period. — The FTE s y s tem 
provides the basic information used to calculate the 
management FTE listed in the following para 
graph s . 

ibj — The budget full time equivalent (B/FTE) i s 
u s ed to prepare the operating budget and to pro - 
vide for an equitable di s tribution of the operating 
funds allocated by the State Board to institutions. 

(c) The equipment full time equivalent (E/FTE) 
i s u s ed to prepare the equipment budget and to 
provide for an equitable distribution of the equip 
mcnt funds allocated by the State Board to the 
institutions. 



i4j — The library full time equivalent (L/FTE) is 
used to prepare the library budget to provide for 
an equitable di s tribution of library funds that arc 
allocated for the purchase of library books and 
audiovi s ual materials. 



(c) The credit hour full time equivalent (H/FTE) 
is used in furnishing data to the North Carolina 
Commission on Higher Education Facilitie s and 
the Univer si ty of North Carolina. 



The — construct i on — full ti 



leftt 



me — equiva 

(C/FTE) is used to determine construction priori - 
tie s and in s titutional eligibility for federal and state 
construction funds for the institutions. 

Note: Substance of this Rule is contained in 23 
NCAC lA .0001. 

Statutory Authority G.S. 115D-5; 115D-54. 



7:15 



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November 2, 1992 



1564 



PROPOSED RULES 



.0318 EQUIPMENT BUDGET REQUESTS: DISTRIBUTION OF FUNDS 

(a) The State Board shall approve budget requests and the allotment of funds to institutions colleges for 
equipment upon recommendation by the Department, department. 
fte^ — The budget reque s t s and fund di s tributions to in s titutions shall be based on the following factors: 

^4-) Determine an equipment full time equivalent (E/FTE) for each institution by applying the following 

ratios to the average full time equivalents for the preceding calendar year, and adding the products 



to obtain a sum for each institution: 



fA) — college transfer — 
ifif) — general education 



-&tM 



-Qri& 



f€4 — technical — 
{&) — vocational 



-rOe 



-^r^ 



fE^ — occupational extension 



-&t55 



-&t05 



{¥) — other regular budget extension 

(3-) Determ i ne the gross equipment funding entitlement for each institution by applying the E/FTE to 

the following funding table: 

Institution's 
E/FTE Size 



to 



16 4 to 



^&3- 



-^SQ- 



$2 4 6,000.00 



$2 4 6,000.00 plus 



$1,500.00 per E/FTE above ^65 



251 to 



-^SQ- 



$375,000.00 plus 
$557,000.00 plus 



$1,820.00 per E/FTE above 3§G 



-^^ 



-t€>- 



-SQO- 



$2. 1 8 0.00 per E/FTE above ?SQ 



■SQi 



tOQO- 



— $88 4 ,000.00 plu s 
$1,79 4 ,000.00 plus 



$1, 8 20.00 per E/FTE above §00 

$1,220.00 per E/FTE above 



T0G4 — te- 



h^oe- 



^QQQ 



t504 



-te- 



hQQQ- 



$2, 4 4 ,000.00 plu s 
$2,86 4 ,000.00 plu s 



$920.00 per E/FTE above 1-^00 

$620.00 per E/FTE above 3^009 



tW4 — &n4- 



abov( 



0) The budget requests and allotment of funds by institution shall be based on the following: 

fA-) — Allot to each institution a base allotment of twenty thousand dollars ($20,000) plus thirty dollars 

($30.00) per E/FTE in excess of 163 E/FTE. 
fB) — Allot to each institution the net entitlement amount which is determined by: 



fB- 



Subtracting from the gross entitlement for each institution the sum of the latest June 30 major 
equipment inventory, the unexpended equipment allotment from the prior year June 30 Form 
112 report, except fund s allotted for accumulated depreciation in the prior year, and the 
current year entitlement allotment: 

tti3 Make adjustments — for prex'ious loans to other institutions, transfers between book and 

equipment budgets, and for special allotments made prior to June 30. 1980. 
{G^ — Allot to each institution the accumulated depreciation amount which is determined by ascertaining 
the accumulated major equipment inventor)' depreciation amount on June 30. 1983; subtracting 
each allotment for depreciation thereafter and adding each fiscal year's annual depreciation 
amount. 
(©) — In the event that appropriation s are not sufficient to fully fund Parts (A). (B). and (C) of this 
Subparagraph. Part (A) shall be funded first. — The remaining funds would be used to fund Parts 
(B) and (C) with each institution receiving its pro rata share of funds set aside for allotment for 
entitlement and accumulated depreciation. — These remaining funds after the base allotment s have 
been made will be allotted for net entitlement and for accumulated depreciation as determined by 
adding the total net entitlement needs and the total accumulated depreciation ne^jds and percenting 
each to the grand total. 
(b) Funds appropriated to the State Board for equipment shall be allocated to the colleges in accordance with 
formulas and procedures established by the State Board. Formulas and procedures to allocate funds shall be 
published in the department's Accounting Procedures Manual. 

Skitmon- Aurhorin- G.S. 115D-5: 115D-55. 



1565 



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PROPOSED RULES 



.0319 ALLOTMENT PROCEDURES FOR HUMAN RESOURCES DEVELOPMENT 

fa) The appropriation provided by the General A s sembly for the support of the HRD program shall be 
divided into three separate and equal funds, allocated in accordance with formulas and procedures established 
by the State Board. Formulas and procedures shall be published in the department's Accounting Procedures 
Manual. 



Fund. 



Each 



{\) One third of the appropriation s hall be designated the "Program Maintenance 

continuing HRD program shall receive annually one equal share of the Program Maintenance Fund. 

(3) One third of the appropriation shall be designated the "FTE Fund." Each continuing HRD program 

s hall receive annually from thi s fund an amount proportionate to its share of the total HRD FTE 
accumulated by all participating in s titution s . 

f^) One third of the appropriation shall be de s ignated the "Performance Fund." Each continuing HRD 

program shall receive annually from thi s fund an amount proportionate to its share of the sum of 
all positive earnback indexes accumulated by all participating in s titutions. — Programs generating a 
negative carnbaok index shall receive no portion of the performance funds. 
(b) An earnback index for each HRD program shall be computed in accordance with the following formula: 



[Aggregate 

[Post Training 3X 



Aggregate 

Po s t Training 



[Aggregate 

[Pre Training 3X 



Aggregate 

Pre Training 



[Income 



Public 



[Income 

-i 



Public 



t- 



A ss i s tance 



Assistance 



Aggregate 

Training Co s t s 



(c) No continuing HRD program shall receive a funding increase or doerease of more than twenty thousand 
dollars ($20,000) from one year to the next. — Any funds which might be earned by a program in excess of 
the permissible increase s hall be reverted to the Performance Fund for redi s tribution; s ufficient fund s s hall 
be added to the allotment of any program from the Performance Fund to prevent an impermissible decrease 
in funding. 

{4r) — No HRD program which generates a negative earnback index for two consecutive fiscal years shall 
receive funding for the next year without special approval of the State Board (Refer to the HRD Program 
Procedures Manual available after August, 19 8 1 for additional s pecific information regarding earnback and 
other pertinent areas). 

Statutory Authority G.S. 1150-5. 

.0320 LIBRARY BOOK FUNDING SYSTEM AND BUDGETARY APPLICATION 

(a) The state board shall approve budget requests and the provide allotment of funds to institutions colleges 
for library books and non-equipment learning resources upon recommendation of the department. 

(b) The budget requests and fund allotments to in s titution s colleges shall be based on the following factors: 
(1) Determine the library full-time equivalent (L/FTE) for each institution college by applying the 

following ratios to the average budget full-time equivalents for the preced i ng calendar current 
budget year and adding the products to obtain a sum for each institution college : 

(A) college transfer curriculum 2.00 1 .00 

(B) general education occupational -1-tW ^50 

(C) technical literacy -l-r^ ^ 
f©3 — vocational l-rOG 



-&t55 



(E) — regular budget extension 

(2) Determine each institution's college's standard book entitlement by computing the following: 

(A) 4-§ 20 volumes per L/FTE up to 1,000 L/FTE with a minimum of 5,000 volumes per institution; 
and 

(B) 4« 14 volumes per L/FTE over 1,000 L/FTE. 

(c) Determine the equivalent book inventory for each institution college by: 



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1566 



PROPOSED RULES 



( 1 ) adding the unexpended library book allotment from the prior year June 30 Form 1 1 2 Report 2-12 
and the current year library book allotment except Subparagraph (1) of Paragraph (d) of this Rule 
(funds for maintenance of existing collections); 

(2) dividing this sum by the latest national average cost per book; and 

(3) adding the equivalent acquisitions and availabilities of Part (2) of Paragraph (a) of this Rule to the 
latest June 30 library book inventory. 

(d) Allotments will be made to in s titutions colleges based on the following: 

( 1 ) Maintenance of Existing Collections. The greater often thousand dollars ($10,000) or 10 percent 
of the latest equivalent book inventory times the latest national average cost per volume; 
Expenditure of the maintenance fund shall not increase the equivalent inventory of any institution 
college ; 

(2) Expansion of Existing Collection. The expansion allotment for each institution college shall be the 
product of the difference between the book entitlement and the equivalent book inventory, and the 
latest national average cost per volume; 

(3) If appropriations are not sufficient to make full allotments, each institution college shall receive a 
pro rata portion of 50 percent of the maintenance allotment and a pro rata portion of 50 percent 
of the expansion allotment. 

(e) These factors will be used as a basis for appropriation requests to the General Assembly. 



Statutory' Authorit)' G.S. I15D-5; 1150-31. 



.0321 PAYROLL DEDUCTIONS 

In s titutions Colleges are authorized to establish 
voluntaiy payroll deduction plans for the follow 
college employees. Allowable deductions are 



outlined in the department's Accounting Proce- 
dures Manual. 



f}-) premiums for any type of group insur 

anoc established and authorized by the 
law s of the state; 

<a4 



m- 



jf the 



amounts authorized by members or tnc 
State Employ ee ' s Credit Union and local 
teacher' s — credit — union to — be — deposited 
with such organizations; 
{M loans made to employees by credit un 



ions; 



f4^ 



defined 



charitable — organizations — as — detined — m 
Sect i on 501(c) (3) of the Internal Reve 
nue Code approved by the local board of 
trustees s ubject to rule s and regulations 
adopted by the director of budget; and 

{%] Payroll Savings Plan for United States 

Savings — Bonds — as — authorized — m — G.S. 
1 4 3 30 4 . 



Tht 



le institution's finance officer i s also authorized 
to enter into annual contract s , with employees of 
the in s titution, which authorize the reduction of 
salarie s to provide for the purchase of annuity or 
retirement income contracts provided that such 
action has been approved by the board of trustees 
and otherwise conform s to the provisions of G.S. 
115D 25. 



Statutory Authority G.S. 115D-5; 1150-22; 
115D-25: 143-3.3; 143-304. 

.0323 REPORTING OF STUDENT HOURS 
IN MEMBERSHIP/CURRICULUM 
CLASSES 

(a) Academic Quarter. The academic quarter 
for all credit courses shall normally be not less 
than 11 school weeks or 55 class days, whichever 
is greater. The academic quarter should be de- 
signed so that all classes may be scheduled to 
include the number of instructional hours shown in 
the college catalog and reported for FTE purposes. 
Instructional hours include scheduled class and 
laboratory sessions as well as examination ses- 
sions. Alternate lengths for quarters or courses 
may be used as long as credit hours are assigned 
consistent with Rule 23 NCAC 2E .0104 and as 
long as membership hours are reported consistent 
with the other provisions of this Rule. 

(b) Regularly-Scheduled Classes. 

(1) A class is regularly scheduled if it 
meets all of the following criteria: 

(A) assigned definite beginning and end- 
ing time; 

(B) specific days the class meets is prede- 
termined; 

(C) specific schedule included on the 
Institution Master Schedule or other 
official college documents; 

(D) class hours assigned consistent with 
college catalog and t^ curriculum 
standard requirements; 



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PROPOSED RULES 



(E) identified class time and dates the 
same for all students registered for the 
class (excluding clinical/cooperative); 
(i) Classes which have a regularly 
scheduled lecture section and a 
non-regularly scheduled laborato- 
ry section will satisfy this criteria. 
The census date (20 percent point) 
must be determined from the 
regularly scheduled portion of the 
class. Verification of student 
participation in the laboratory 
section of the class must be avail- 
able for review, 
(ii) a student is considered absent if 
that student fee did not attend 
during the specified times or days 
the class was scheduled to meet. 

(2) A student is considered to be in class 
membership when the student meets all 
the following criteria: 

(A) enrolled as evidenced by payment of 
the applicable tuition and fees, or 
obtained a waiver as defined in G.S. 
115D-5(b); Paragraph (a) of Rule 
.0202 of this Subchapter; 

(B) attended one or more classes prior to 
or on the 20 percent point in the 
class; 

(C) has not withdrawn or dropped the 
class prior to or on the 20 percent 
point. 

(3) Student Membership Hour. A student 
membership hour is one hour of sched- 
uled class, shop or laboratory for which 
the student is enrolled. A college shall 
provide a minimum of 50 minutes of 
instruction for each scheduled class 
hour. A college may not report more 
hours per student than the number of 
class hours scheduled in the college 
catalog or other official college docu- 
ments. 

(4) Calculation of Student Membership 
Hours for Regularly Scheduled Classes. 
Student membership hours are obtained 
by multiplying the number of students 
in membership at the 20 percent point 
in the class by the total number of 
hours the class is scheduled to meet for 
the quarter as stated in the catalog or 
other official college documents. 

(5) Maintenance of Records of Student 
Membership Hours. Accurate atten- 
dance records must be maintained for 



each class through the 20 percent point 
of the class. Colleges are encouraged 
to maintain attendance records for the 
duration of all classes. Attendance 
records are to be signed by the instruc- 
tor or lead instructor, verifying their 
accuracy, and are to be maintained by 
the college until released from all audits 
(see the Public Records Retention and 
Disposition Schedule for Institutions in 
the Community College System). 
Student membership hours shall be 
summarized in the institution's Class 
Report and certified by the president or 
fe« designee. For classes identified as 
non-traditional delivery (see Subpara- 
graph (e)(1) of this Rule for additional 
information), documentation of student 
contact prior to the 20 percent point 
must be maintained in the same manner 
as the attendance records mentioned in 
this Rule. 
(c) Non-Regularly Scheduled Classes. 
(1) A non-regularly scheduled class may 
include any or all of the following: 

(A) a class where a definitive beginning 
and ending time is not determined; 

(B) a class offered in a learning laborato- 
ry type setting (see Subparagraph 
(b)(6) of Rule .0324 of this Subchap- 
ter for definition of learning laborato- 
ry); 

(C) a class self-paced in that the student 
progresses through the instructional 
materials at his /her own pace, and can 
complete the courses as soon as 
he /she has successfully met the educa- 
tional objectives. Classes offered as 
independent study are generally of- 
fered in this manner; 

(D) a class in which a student may enroll 
during the initial college registration 
period or in which the student may be 
permitted to enroll at any time during 
the quarter; 

(E) any class not meeting all criteria for a 
regularly scheduled class, as shown in 
Subparagraph (b)(1) of this Rule, is 
considered to be a non-regularly 
scheduled class for reporting purpos- 
es. Note classes defined as 
non-traditional (see Paragraph (e) of 
this Rule) which are identified as a 
separate student hour reporting cate- 



7:15 



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1568 



PROPOSED RULES 



gory and are not subject to the provi- 
sions in Paragraph (c). 

(2) Definition of Student Membership. A 
student is considered to be in class 
membership when the student meets the 
following criteria: 

(A) enrolled as evidenced by payment of 
the applicable tuition and fees, or 
obtained a waiver as defined in Para- 
graph (a) of Rule .0202 of this Sub- 
chapter; and 

(B) attended one or more classes. 

(3) Definition of a Student Contact Hour. 
For non-regularly scheduled classes, 
student contact hours, actual hours of 
student attendance in a class, shop, or 
lab are to be reported for each student 
determined to be in membership. Sixty 
minutes shall constitute an hour. 

(4) Calculation of Student Contact Hours 
for Non-Regularly Scheduled Classes. 
For these classes, actual time of class 
attendance is to be reported; 60 minutes 
shall constitute an hour. Student con- 
tact hours for these classes are the sum 
of all the hours of actual student atten- 
dance in a class in a given quarter. 

(5) Maintenance of Records of Student 
Contact Hours. Accurate attendance 
records must be maintained for each 
class of the nature described in this 
Rule through the entire quarter. Atten- 
dance records are to be signed by the 
instructor or lead instructor, verifying 
their accuracy, and are to be maintained 
by the college until released from all 
audits (see the Public Records Retention 
and Disposition Schedule for Institu- 
tions in the Community College Sys- 
tem). Student contact hours shall be 
summarized in the Institution's Class 
Report and certified by the president or 
Im designee. 

(d) Skills Laboratory or Computer Tutorial 
Laboratory. Individualized instructional laborato- 
ries are similar to learning laboratories (see Sub- 
paragraph (b)(6) of Rule .0324 of this Subchapter) 
except the participants are curriculum students. 
Skills labs or computer tutorial labs are remedi- 
al/developmental in nature and intended for stu- 
dents who are experiencing academic difficulty in 
a particular curriculum course. A skills laboratory 
instructor must be qualified in the single-subject 
area of the skills laboratory. A computer tutorial 
laboratory coordinator need not be qualified in any 



of the subject area(s) provided in a computer 
tutorial laboratory. Student contact hours may be 
reported for budget/FTE when students are re- 
quired by their instructor to attend either of the 
laboratories for remedial/developmental work and 
when the skills laboratory instructors or computer 
tutorial coordinators are paid with curriculum 
instructional funds. 

(1) Documentation of instructor referral 
must be maintained for auditing purpos- 
es. Maintain documentation until re- 
leased by audit. 

(2) Homework assignments are not permit- 
ted to be reported for budget/FTE. 
[Note Rule 23 NCAC 2D .0325(a).] 

(3) Calculation of Student Contact Hours 
for Skills Laboratory or Computer 
Tutorial Laboratory. For these classes, 
actual time of class attendance is to be 
reported; 60 minutes shall constitute an 
hour. Student hours generated for these 
types of classes are the sum of all the 
hours of actual student attendance in a 
class in a given quarter. 

(e) Classes Identified as Curriculum 

Non-Traditional Delivery. 

(1) Definition. Due to the methodology by 
which instruction is delivered, 
non-traditional delivery classes are not 
consistent with the definitions of regu- 
larly scheduled or non-regularly sched- 
uled classes described in this Rule. 
Non-traditional delivery classes must be 
offered through media such as radio, 
television, and other media as well as 
through correspondence or newspapers. 
The instruction delivered is 
pre-structured into identifiable units. 
Non-traditional delivery classes do not 
include classes identified as independent 
study which are not media based or are 
not correspondence or newspaper 
based. 

(2) For those classes identified as 
non-traditional delivery, student atten- 
dance in class or in an orientation 
session, submission of a written assign- 
ment or submission of an examination, 
is the basis for the determination of 
class membership at the 20 percent 
point of the class. Student membership 
hours earned in non-traditional delivery 
classes shall be calculated by multiply- 
ing the number of students in member- 
ship, as determined in the prior sen- 



1569 



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PROPOSED RULES 



tence, times the number of hours as- 
signed to the class in official college 
documents. For these classes, the 
number of hours assigned must be 
consistent with the credit hours assigned 
according to Rule 23 NCAC 2E .0104, 
as well as the appropriate curriculum 
standard . 
(f) Curriculum Student Work Experience and 
Clinical Practice. The following criteria apply to 
the reporting guidelines for students enrolled in 
curriculum work experience and clinical practice 
courses, exclusive of in-plant training as specified 
in Rule 23 NCAC 2E .0402. Examples of student 
work experience include cooperative education, 
practicums, and internships. Clinical practice 
refers to work experience in health occupation 
programs. 

(1) Student membership hours for student 
work experience and clinical practice 
shall not generate budget/FTE without 
prior approval by the department of 
such activities through the appropriate 
curriculum standard. 

(2) Work Experience. Work experience 
for curriculum courses shall earn bud- 
get/FTE at the 100 percent rate of 
assigned work experience hours and 
shall not exceed a maximum of 220 
membership hours per student per 
quarter. 

(A) These classes must be coordinated by 
college personnel paid with college 
instructional funds and may be located 
in one or more sites. 

(B) These classes must be specified in the 
approved curriculum of the college 
consistent with the applicable curricu- 
lum standard. 

(C) Formal or informal apprenticeship 
on-the-job training activities of a 
cooperative skill training program 
funded under a special project alloca- 
tion shall not earn budget/FTE. 
Classroom instruction funded with 
college regular budget instructional 
dollars for related or supplemental 
instruction as required by formal or 
informal apprenticeship programs 
shall earn budget/FTE. 

(3) Clinical Practice. Curriculum clinical 
practice, as defined in Rule 23 NCAC 
2E .0104, refers to clinical experience 
in health occupation programs which 
shall earn budget/FTE at the 100 per- 



cent rate for student membership hours. 
TTie applicable classes must be consis- 
tent with the curriculum standards 
policy as noted in Paragraph (a) of Rule 
23 NCAC 2E .0203. The maximum 
membership hours in a clinical experi- 
ence which can be reported per student 
in a given quarter is 440. These classes 
must be supervised by college instruc- 
tors qualified to teach in the particular 
program and who are paid with college 
instructional funds. These classes may 
be located in one or more sites. 

Statutory^ Authority G.S. 115D-5; 115D-31: 
U5D-58.5. 

.0324 REPT/STU HRS/MEMBERSm?/ 
EXTENSION (NON-CREDIT) 
CLASSES 

(a) Regularly Scheduled Classes. 

(1) Definition of Regularly Scheduled 
Class. A class is considered to be 
regularly scheduled if it meets all of the 
following criteria: 

(A) assigned definite beginning and end- 
ing time; 

(B) specific predetermined days and time 
the class meets; 

(C) specific schedule included on the 
Institution Master Schedule or other 
official college documents; 

(D) class hours assigned consistent with 
official college documents; 

(E) identified class time and dates the 
same for all students registered for the 
class (excluding clinical/work experi- 
ence); 

(i) Classes which have a regularly 
scheduled lecture section and a 
non-regularly scheduled laborato- 
ry section will satisfy the criteria. 
The census date (50 20 percent 
point) must be determined from 
the regularly scheduled portion of 
the class. Verification of student 
participation in the laboratory 
section of the class must be avail- 
able for review. 

(ii) a student considered absent if he 
that student did not attend during 
the specified times or days the 
class was scheduled to meet. 

(2) Definition of Student Membership. A 
student is considered to be in class 



7:15 



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November 2, 1992 



1570 



PROPOSED RULES 



membership when the student meets all 
the following criteria: 

(A) enrolled as evidenced by payment of 
the applicable registration fees, or 
obtained a waiver as defined in Para- 
graph (a) of Rule .0203 of this Sub- 
chapter; 

(B) attended at least 50 percent of the one 
or more classes heW prior to or on 
the §0 20 percent point in the class; 
and 

(C) has not withdrawn or dropped the 
class prior to or on the §0 20 percent 
point of the class. 

(3) Student Membership Hour. A student 
membership hour is one hour of sched- 
uled class, shop or laboratory for which 
the student is enrolled. A college shall 
provide a minimum of 50 minutes of 
instruction for each scheduled class 
hour. A college may not report more 
hours per student than the number of 
class hours scheduled in official college 
documents. Colleges may not report 
more hours per student, excluding 
non-traditional classes, than the number 
of hours specified in the instructor's 
contract. 

(4) Calculation of Student Membership 
Hours for Regularly Scheduled Classes. 
Student membership hours are obtained 
by multiplying the number of students 
in membership at the 50 20 percent 
point in the class by the total number of 
hours the class is scheduled to meet for 
the quarter as stated in official college 
documents. Due to the unique funding 
formula for Human Resource Develop- 
ment (HRD) classes, all HRD classes 
must be regularly scheduled and report- 
ed consistent with the calculation meth- 
od noted in Subparagraph (a)(4) of this 
Rule. 

(5) Maintenance of Records of Student 
Membership Hours. Accurate atten- 
dance records must be maintained for 
each class throughout the entire class or 
quarter. Attendance records are to be 
signed by the instructor or lead instruc- 
tor, verifying their accuracy, and are to 
be maintained by the college until 
released from all audits as provided in 
the Public Records Retention and Dis- 
position Schedule for Institutions in the 
Community College System. Student 



membership hours shall be summarized 
in the Institution's Class Report and 
certified by the president or his 
designee. For classes identified as 
non-traditional delivery, (see Paragraph 
(c) of this Rule) documentation of 
student contact prior to the §0 20 per- 
cent point must be maintained in the 
same manner as the attendance records 
mentioned in this Rule. 
(b) Non-Regularly Scheduled Classes. 

(1) Definition of Non-Regularly Scheduled 
Class. A non-regularly scheduled class 
may include any or all of the following: 

(A) a class where a definitive beginning 
and ending time is not determined; 

(B) a class offered in a learning laborato- 
ry type setting (see Subparagraph 
(b)(6) of this Rule for defmition of 
learning laboratory); 

(C) a class self-paced in that the student 
progresses through the instructional 
materials at his /her own pace, and can 
complete the courses as soon as 
he /she has successfully met the educa- 
tional objectives. Classes offered as 
independent study are generally of- 
fered in this manner; 

(D) a class in which a student may enroll 
during the initial college registration 
period or in which a student may be 
permitted to enroll at any time during 
the quarter; or 

(E) any class not meeting all criteria for a 
regularly scheduled class as shown in 
Subparagraph (a)(1) of Rule .0324 of 
this Subchapter, is considered to be a 
non-regularly scheduled class for 
reporting purposes; 

(F) note classes defined as non-traditional 
(see Paragraph (c) of this Rule) which 
are identified as a separate student 
hour reporting category and are not 
subject to the provisions in Paragraph 
(b).' 

(2) Definition of Student Membership. A 
student is considered to be in class 
membership when the student meets the 
following criteria: 

(A) enrolled as evidenced by payment of 
the applicable registration fees, or 
obtained a waiver as defined in Para- 
graph (a) of Rule .0203 of this Sub- 
chapter; 

(B) attended one or more classes. 



1571 



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PROPOSED RULES 



(3) Definition of Student Contact Hour. A 
student contact hour is one hour of 
student attendance in a class for which 
the student is in membership as defined 
in Subparagraph (b)(2) of this Rule. 
Sixty minutes shall constitute an hour. 

(4) Calculation of Student Contact Hours 
for Non-Regularly Scheduled Classes. 
For these classes, actual time of class 
attendance is to be reported; 60 minutes 
shall constitute an hour. Student con- 
tact hours for these classes are the sum 
of all the hours of actual student atten- 
dance in a class in a given quarter. 

(5) Maintenance of Records of Student 
Contact Hours. Accurate attendance 
records must be maintained for each 
class throughout the entire class or 
quarter. Attendance records shall be 
signed by the instructor or lead instruc- 
tor, verifying their accuracy, and are to 
be maintained by the college until 
released from all audits as provided in 
the Public Records Retention and Dis- 
position Schedule for Institutions in the 
Community College System. Student 
membership hours shall be summarized 
in the Institution's Class Report and 
certified by the president or his 
designee. For classes identified as 
non-traditional delivery, (see Paragraph 
(c) of this Rule), documentation of 
student contact prior to the 50 20 per- 
cent point must be maintained in the 
same manner as the attendance records 
mentioned in this Rule. 

(6) Learning Laboratory. Learning labora- 
tory programs consist of self-instruction 
using programmed text, audio-visual 
equipment, and other self-instructional 
materials. A learning laboratory coor- 
dinator has the function of bringing the 
instructional media and the student 
together on the basis of objective and 
subjective evaluation and of counseling, 
supervising, and encouraging persons 
working in the laboratory. Contact 
hours are to be calculated as noted in 
Subparagraph (b)(4) of this Rule. 

(c) Classes Identified as Extension 

Non-Traditional Delivery. 

(I) Definition. Due to the methodology by 
which instruction is delivered, 
non-traditional delivery classes are not 
consistent with the definitions of regu- 



larly scheduled or non-regularly sched- 
uled classes described in this Rule. 
Non-traditional delivery classes may be 
offered through media such as radio, 
television and other media as well as 
through correspondence or newspapers. 
The instruction delivered is 
pre-structured into identifiable units. 
Non-traditional delivery classes do not 
include classes identified as independent 
study which are not media based or are 
not correspondence or newspaper 
based. 
(2) For those classes identified as 
non-traditional delivery, student atten- 
dance in class or in an orientation 
session, submission of a written assign- 
ment or a submission of examination is 
the basis for the determination of class 
membership at the 50 20 percent point 
of the class. Student membership hours 
in such classes shall be calculated by 
multiplying the number of students 
enrolled in the class times the number 
of instructional hours delivered which is 
determined as follows: 

(A) determine the number of hours of 
instruction delivered via 
non-traditional delivery; and 

(B) add the number of hours of class 
meetings, review sessions, etc., 

(C) for those non-traditional continuing 
education classes which are approved 
by a local college staff review com- 
mittee and the Director of Continuing 
Education Services for the depart- 
ment, additional hours above the level 
noted in Subparagraphs (c)(2)(A) and 
(B) in this Rule may be approved 
commensurate with course content. 

(d) Extension Student Work Experience and 
Clinical Practice. The following criteria apply to 
the reporting guidelines for students enrolled in 
extension work experience and clinical practice 
courses, exclusive of in-plant training as specified 
in Rule 23 NCAC 2E .0402. To be eligible for 
approval, these work experience or clinical prac- 
tice courses must be required by an external 
agency or accrediting body. Examples of student 
work experience include cooperative education, 
practicums, and internships. 

(1) Student membership hours for student 
work experience and clinical practice 
shall not generate budget FTE without 
prior approval of such activities by the 



7:15 



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November 2, 1992 



1572 



PROPOSED RULES 



department on forms provided for this 
purpose. Approval of student work 
experience and clinical practice ap- 
proved prior to November 1, 1983 by 
the department must be resubmitted for 
reapproval on the forms provided for 
this purpose. When the number of 
approved student work experience 
membership hours increases by more 
than 20 percent per course, a new 
approval form must be submitted. 

(2) Work Experience. Work experience 
for extension courses shall earn bud- 
get/FTE at the 100 percent rate for 
student membership hours, as deter- 
mined in Subparagraph (a)(3) of this 
Rule, and shall not exceed a maximum 
of 220 membership hours per student 
per quarter. 

(A) These classes must be coordinated by 
college personnel paid with college 
instructional funds and may be located 
in one or more sites. 

(B) Formal or informal apprenticeship 
on-the-job training activities of a 
cooperative skill training program 
funded under a special project alloca- 
tion shall not earn budget/FTE. 
Classroom instruction funded with 
regular budget instructional dollars for 
related or supplemental instruction as 
required by formal or informal ap- 
prenticeship programs shall earn 
budget/FTE. 

(3) Clinical Practice. Clinical practice 
refers to clinical experience in health 
occupation courses which shall earn 
budget/FTE at the 1(30 percent rate for 
student membership hours, as deter- 
mined in Subparagraph (a)(3) of this 
Rule, and shall not exceed a maximum 
of 220 membership hours per student 
per quarter unless North Carolina licen- 
sure or program accreditation standards 
require additional hours. In such cases, 
work activity hours shall earn bud- 
get/FTE at the 100 percent rate in 
accordance with licensure or program 
accreditation standards up to a nia.xi- 
mum of 440 membership hours per 
student per quarter. These classes must 
be supervised by college instructors 
qualified to teach in the particular 
program and who are paid with college 



instructional funds. These classes may 
be located in one or more sites. 

Statutory Authority G.S. 115D-5: 115D-31; 
U5D-58.5. 

.0325 LIMITATION IN REPORTING 

STUDENT MEMBERSfflP HOURS 

(a) Student hours may not be reported for 
budget/FTE which result from: 

(1) Conferences or visits. General types of 
meetings usually of one or more day's 
duration, attended by a fairly large 
number of people. A conference or 
visit may have a central theme, but is 
loosely structured to cover a wide range 
of topics. The emphasis is on prepared 
presentations by authoritative speakers, 
although division into small group 
sessions for discussion purposes is often 
a related activity. 

(2) Seminars or Meetings. A small group 
of people meeting primarily for discus- 
sion under the direction of a leader or 
resource person or persons. Seminars 
and meetings are generally one-time 
offerings even though they may contin- 
ue for more than one day. 

(3) Programs of a service nature rather 
than instructional classes. 

(4) Enrollment of high school students not 
in compliance with 23 NCAC 2C .0301 
and 2C .0305. 

(5) Unsupervised classes. 

(6) Proficiency or challenge exams except 
that the actual time required to take the 
exam may be counted in membership; 
students must be registered in the class 
consistent with Paragraph (a) of Rules 
.0202 and .0203 of this Subchapter. 

(7) Homework assignments. 

(8) Inter-institutional or intramural sports 
activities including those of prison 
inmates. 

(b) Self-supporting classes are not to be reported 
for regular budget purposes (those classes support- 
ed by student fees or a class in which instruction 
is provided gratis); all recreational extension 
classes fall in this category. 

(c) Student clas s hour s for clas s s ize project s in 
which in s tructional s alarie s are funded by Title II 
of the Job Training Partnership Act (JTPA) shall 
not receive full FTE funding, but s hall rcceixe 
administrati\o cost reimbursement. The sixty forty 
rule docs not apply to JTPA cla ss s ize projects. 



1573 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



il) 



Occupational extension instruction may be offered 
in sheltered workshops and adult development 
activity centers (ADAP) provided: 

(1) Instruction involves the development of 
a job skill dependent on equipment or 
processes in the work environment 
which are not available through college 
facilities. The purpose of occupational 
extension instruction in a sheltered 
workshop/ ADAP is to teach the funda- 
mental skills of a particular job. The 
achievement of production or perfor- 
mance standards established by the 
sheltered workshop or ADAP center is 
not a goal of these courses. The in- 
struction provided shall not duplicate or 
supplant existing training provided by 
the company/entity. 
Content of a sheltered workshop/ ADAP 
course is based on an analysis of the 
job for which training is offered. The 
job analysis shall designate each sepa- 
rate task within a job and assign a 
number of hours required to teach each 
separate task. The course outline and a 
fiscal plan for operating each course 
shall be approved by the board of trust- 
ees. If approval [s not given, no bud- 
get /FT E shall be reported for that 
course. 

Instruction offered is not repetitive or 
recurring to the same clients within the 
organization. Sheltered work- 

shop/ ADAP clients shall not be enrolled 
for more than 660 hours during a 
12-month period. (The 12-month peri- 
od will begin at the start of the initial 
training. The initial training period 
begins Fall Quarter. 1992.) Excessive 
student repeats of the same course are 
not appropriate and cannot be funded 
with state dollars. No course may be 
taken more than four times. 



tion approved jn writing by the shel- 
tered workshop or ADAP center [n 
which the instruction is offered. 



t3j 



i4] 



(51 



Instruction provided deals with content 
and skills which prepare students for 
production work. Instruction which 
involves production only cannot be 
counted for FTE purposes. 
During the time the course is offered, 
instructors shall not engage in any 
administrative, supervisory, or opera- 
tional functions of the organization for 
which the course is being offered. 
(6) The course includes schedule, course 
objectives, and other relevant informa- 



(7) The earnback from instruction offered 
in these settings will not exceed a rea- 
sonable percentage of the direct cost of 
the training. 
fd) — New and Expanding industry', human re 
s ource s development, cooperative s kills training, 
small business, apprenticeship and high priority 
programs are — separate budget allotments and, 
therefore. — de — net — eaffi — regular — budget — FTE. 
Regular budget extension funds excluding adult 
high school may be used in human resource s 
development programs when the s pecial allocations 
for these purposes arc obligated and, in this event, 
shall earn budget FTE. 



Statutory Authority 
115D-58.5. 



G.S. 115D-5; 115D-31; 



.0326 OCCUPATIONAL EXTENSION 
INSTRUCTIONAL CONTRACT 
FUNDEVG 

(a) All student membership hours generated by 
the college for a given class where 60 when 100 
percent of the instructional hours delivered are 
paid from college funds (funds budgeted through 
the college's budget including State Current, 
County Current, or In s titutional College Funds) 
shall be counted for budgeting budget/ FTE purpos- 
es. These provisions apply when a college con- 
tracts with a company or entity (instructional costs 
paid directly to the company or entity receiving the 
instructional program) or a "third-party" contract 
(the college contracts with a separate entity to 
deliver instruction to the company or entity which 
requested the instructional program). Following 
are applications of this Rule: 

(1) For a given class, if the salary salaries 
paid to an instructoris] include both 
college funds and funds from other sourc- 
es 60 percent of the in s tructional hour s 
delivered mu s t be paid with college funds 
in order to report all the which are not 
budgeted through the college's budget, 
student hours in membership reported 
generated. — If the college pays for less 
than 60 percent of the instructional hours 
delivered for a given class, student hours 
in member s hip reported for the class will 
be prorated in the same proportion as the 
college funding. 

(2) For a given class, if multiple instructor s 
are utilized. 60 percent of the instmction 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1574 



PROPOSED RULES 



(3) 



(4) 



qI hours doliverod must bo paid with 
college funds in order to report ail the 
s tudent hours in membership generated. 
If a company or agency donates funds to 
a college or pays the college for the 
instruction delivered, these funds may, 
consistent with the definition of college 
funds, be used to support classes and 
generate budget/FTE. 
F©f — a — given — cla ss — that — involves — a 
"third party" — instructional contract, the 
contracted instnictional figure paid with 
college funds will be considered a s ful 
filling the 60 percent criteria and the 
college may report all the student hours 
in membership generated in the particular 
clas s . — The "earnback" for a given con 
tracted class will be reviewed to ensure 
that a college is not earning "windfall 
dollars". The instruction provided 
through contract shall not duplicate or 
supplant existing training. 
For a given class, if instruction is proxid 
ed at no cost or the instructional salaries 
are paid totally and directly — by other 
agencies or companies, the cla ss involved 
is considered a gratis cla ss for student 
reporting purposes (note Paragraph (b) of 
Rule .0325 of this Subchapter concerning 
gratis — instruction). The community 
college shall not contract with a compa- 
ny/entity to provide training to its current 
employees except under the following 
conditions: a college may contract with 
a company to provide the cost of replace- 
ment of an employee who is providing 
the actual training and ]s released from 
regular work responsibilities. Reim- 



bursement may be provided for appropri- 
ate supplies and materials. 
(5) Special State Allotments to colleges such 
as Human Re s ources Development. Small 
Bu s iness. Cooperative Skills, etc.. do not 
earn Budget/FTE and are not subject to 
the — provisions — &f — thts — Rule. The 
college's FTE earnings shall not exceed 
a reasonable percentage of the direct cost 
of the training, 
(b) Any class for which the instructor's services 
are provided at no cost or for which the 
instructor's salary is paid totally and directly by an 
external agency js a "gratis" class. In this situa- 
tion, the class is reported as self-supporting, and 
does not generate budget/FTE. ff a portion of the 



class is gratis, student hours shall be reported 
consistent with Subparagraph (a)(1) of this Rule. 

(c) Categorical state allotments to colleges 
(except literacy) such as Human Resources Devel- 
opment. Small Business. Focused Industrial Train- 
ing. Community Service Block Grants, etc.. do not 
earn budget/FTE and are not subject to the provi- 
sions of this Rule. Regular budget extension funds 
excluding adult high school may be used m human 
resources development programs when the special 
allocations for these purposes are obligated and, in 
this event, shall earn budget/FTE. 

(d) Student class hours for class-size projects in 
which instructional salaries are funded by Title II 
of the Job Training Partnership Act (JTPA) shall 
not receive full FTE funding, but shall receive 
administrative cost reimbursement. 



Statutory Authority G.S. 
115D-58.5. 



J15D-5; 115D-31; 



.0328 THE FULL-TIME EQLTVALENT 
(FTE) SYSTEM 

The following categories of FTE will be calculat 



jd by the Department: 
fH college — tran s fer — education — curriculum 

programs. 

(5^ general education curriculum programs. 

0) technical education curriculum programs. 

{A) vocational — education — curriculum — pf©- 

grams. 

{%) academic extension programs. 

{%) adult high school extension programs. 

fh avocational extension programs. 

f8^ occupational exten s ion programs. 

(9^ practical s kill s exten s ion programs. 

fW) adult basic education program s . 

H+^ learning laboratory. 

{¥ir) job training partnership act programs, 

■(4^^ new and expanding indu s try programs. 

fW) human resources development programs. 

s elf s upporting — and — recreational — pre- 

grams. 

compensator)' education programs. 



k^ 



H^ 



Statutory Authority G.S. 115D-5: S.L. 1981. c. 
859. s. 32,33: S.L. 1981. c. 1282. s. 36. 

SECTION .0600 - CAPITAL 
CONSTRUCTION 

.0601 APPROPRIATION REQUESTS AND 
ALLOCATION POLICY 

(a) The State Board shall approve appropriation 
requests and the allotment of funds to institutions 



7.57.5 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



colleges for capital Improvements based on an 
adopted formula and as published in the 
department's Accounting Procedures Manual, fteed 
and utilization of spac e . — These requests shall be 
based on the needs of the 5 8 in s titutions as docu 
-fr, 



fA^ 



ptefl 



mcnted m a five year capital improvement 
certified by each local board of trustees. — Thts 
five year capital — improvement — plan. — ©fl — forms 
provided by the — department. — shall — be — updated 
biennially to ensure that the requirement s reflect 
the changing patterns in the institutions. — The s e 
plans shall — include estimates — of cost for new 
construction, major renovations and equipment for 
new buildings. — These requests should reflect all 
sources of po s sible funds to meet these needs such 
as state, local, federal, or any other available 
funds. 

(b) Fund s allocated by the State Board of Com 
munity — Colleges. — whether — titey — be — from — state 
appropriations or from vocational education appro 
priation s . shall be matched vt'ith local fund s on a 
dollar for dollar basi s . — This allows local taxing 
authorities — input and — knowledge of additional 
building s for which they must provide operating 
and maintenance funds. Local expenditure s previ 
ously made in excess of required matching needs 
shall be allowed to be counted to generate addi 
tional state funds for that institution. 



-alk 



fe) — 1 he full funding of needed projects allows 
institutions to — proceed — wrth — construction — ©fi — a 
timely — ba s i s — and — ensures — better planning and 
utilization of available funds. 

{4t) — When circum s tance s warrant, provisions 
should be made to waive the matching require 
ment s to allow in s titution s to meet educational 
need s which oth e rwi s e could not be met. — This 
requires approval by the Legi s lature. 

{&) — Institutional ranlcings for capital improve 
ment projects shall be based on the following 
criteria: 



k^ 



Institutions shall be ranked according to 
the — utilization — of their — existing — and 
funded facilities. — Base data from the 
Higher Education Facilitie s Inventory 
and Utilization Reports a ss embled by 
the Univer s ity of North Carolina Com 
mi ss ion on Higher Education Facilities 
shall be used, plu s additions and dele 
tions based on funded projects. — These 
data — may — be — amended — according — to 
additional — relevant — information — fw^ 
ni s hed by th« in s titution s (i.e.. 



ott campus rented space that will no 
longer be needed may bo deleted when 
on campus space becomes available.) 



TTiese ranlcing s will be determined as 
follows: 



of "instructional and 



(t^ A category 

library" — (I & — t) — related — space 
shall be determined based upon 
the definition of such space as 
de s cribed in the N. C. Facilitie s 
Inventory and Utilization Study. 
The I & L space shall be amended 
by any funded additions or known 
deletions. 

f«3 A s econd category "other s pace" 

shall be derived by subtracting the 
defined I & L space from the net 
assignable square feet as reflected 
m — the — institution's — utilization 
report as adjusted. 

{m) 1 & L s pace, as well as "other 

space", defined in this Paragraph 
shall be modified to include the 
space in tho s e facilities for which 
on institution currently has fund 
tagr — The department shall use 
data from the DCC 3 I form or 
the DCC 3 2 form to determine 
the breolcdown between I & L and 
"other space". — These forms shall 
alse — be used to determine — net 
assignable square feet for build 
ings completed or under construe 
tion which are not currently re 
fleeted in the inventory. — in s titu 
tion s having received additional 
s tate appropriations since the last 
utilization report was — compiled, 
shall have additional square foot 
age added based on dividing state 
dollar s available by — the current 
co s t per square foot to determine 
the additional gro ss s quare foot 
age to be built. — The gross s quare 
footage s hall then be multiplied by 
the percentage of net assignable 
square feet to gros s square feet a s 
reflected — in the N.C. — Facilities 
Inventory and Utilization Study to 
determine the amount of addition 



ft^ 



net a ss ignable square teet to be 
added to that institution. Funds 



for ad\ 



land 



ivance planning, land pur 
cha s e, s pace renovation or equip 
ment s hall — not increase — the — net 
a s signable square feet. 
ftv^ — Space utilization i s determined by 
dividing both the I & L and "oth 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1576 



PROPOSED RULES 



o r a puoe" — by — tht; — tote) — student 
clock — hour a — of in s truction — pef 
week to obtain ratios of space to 



student — clock — hour s . 



Student 



clock hour s include botii credit 
and — noncredit — courses — which 
e xtend for at least eight weeks 
and ar e held in space included in 
the — Higher — Education — Facilitie s 
Inventory Report. — Student clock 
hours — ftfe — found — m — ihe — Nr^ — Gr 
Facilitie s — Inventory and Utiliza 
tion Study. — 1 & L s pace divided 
by stud e nt clock hours is also 
called Capacity Enrollment Ratio 
(C/E Ratio). 



fv-) The ratios of the I & L s pac e 

student clock hours s hall be dou 



te 



fe4ed- 



fbt. 



-te — add — additional — weigr 
These weighted I & L s pace to 
s tudent clock — hours ratio s s hall 
then bo added to the "other space" 
to s tudent clock hours ratios to 
provide — « — combin e d — weighted 
ratio. 



-4% 



Irted 



e — combmcQ — woig 

ratio s s hall be ranlced from low to 

high for all institutions. — Lower 

ratios rofloct higher utilization of 

s pace. 

fB) — The state dollars requested for the s e 

costs and the type of project would be 

shown on the institution ranking li s t 

a s determined in Subparagraph (e) (I) 

f thi s Rule — Thi s ranking s hall b e 



e 



sent — to — aW — institutions — fef — rcviev»'. 
After reviewing the combined li s ting, 
in s titution s — which — feel — they — have 
ju s tification to request an exception to 
the ranking may request the State 
President to review their circumstanc 
esr — Tw© — example s — of exceptional 
cases may be using substandard facili 
tie s or lacking the — nece ss ary — l ocal 
matching fund s . 
(€4 — The State President shall appoint a 
committee consisting of five mem 
bors; throe mstitution presidents, one 
s taff member and one other, to study 
exception s and to make reconimcnda 

tions. If it is determined that an 

in s titution ha s justification for modifi 
cation — te — the — ranking s . — ks — relative 
position — em — the — ranking — may — be 
changed ba s ed on committee recom 



mendation and concurrence by the 
State President. 
i&) — The final revised ranlcing s hall be 
pre s ented to the State Board for ap 
proval and shall constitute the priority 
need s — fef — appropriations — wrttl — etti 
institutions — ©n — thw — list — have — been 
funded. Funding shall be made to the 
extent appropriations arc available. 

(33 Institution s that cannot utilize available 

funding shall be passed over for the 
current funding cycle, but shall not lose 
their ranJc order. 



Statutory Authority G.S. 115D-1; 115D-3; 115D-5; 
115D-31; 115D-33; 115D-54; 115D-58.10; P.L. 
90-576. 

.0602 CAPITAL PROJECT APPROVAL AND 
OBTAINING CAPITAL FUNDS 

(a) The State Board is charged with the respon- 
sibility under G.S. 1 15D-5 to approve sites and 
building plans, among other things, for all institu 
tions colleges , regardless of source of funds. 
(Procedures are located in the department's Con- 
struction Manual.) The state board is also respon 



siblc for molcing con s truction grant s from State and 

Federal — Vocational — Aet — ef — 1968 — funds. The 

Department s hall coordinate grant requests under 
the Higher Education Facilitie s Act and the same 
will apply under other federal acts that have been 
or may be pa s sed. 

{bj — The Division of State Con s truction of th e 
Stat e Department of Administration (hereinafter 
called — the — Division — ©^ — State — Con s truction) — is 
charged by s tate law with responsibility for ap 
proving building plans for institutions and agencies 
using state funds in construction project s . Becau s e 
federal grants are made with the expectation that 
they will be safeguarded in the s ame way that state 
fimd s ar e — safeguarded, — this division — ate© — has 
responsibility where federal fund s are involved. 
Where local funds alone are used, review com 
ment s of the Divi s ion of State Construction are 

-fef 



jndati 



rather — the 



recommendations — rather — tfrafl — requirements — tor 
compliance. — Boeauso it i s ju s t a s important to 
insure th e wi se expenditure of local public funds a s 
state or federal funds, it is recommended that 
boards of trustees accept these recommendation s a s 
requirements. 

fe) In order to s ecure approval, funds and 

ultimately a completed capital project, the follow 
ing procedure s are e s tabli s hed: 

f-H State Board Preliminary Approval 



1577 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



{A) — Boards of trustees shall mako applica 
tiefl — for approval — of projects — aftd 
funds on forms provided by the Do 
partmcnt. — The application form shall 
certify that the board of trustees holds 
a fee simple title or a long term l ea s e 
acceptable to the State Board to the 
land on which the project is proposed, 
the type of construction and approxi 
mate size of each proposed facility, 
the purpose for which it will be used, 
the energy source, the local matching 
funds available, and will set forth 
clearly the need for the facility in 
order — t© — enable — the — institution — t© 
provide for the educational programs 
approved for the institution by the 
State — Board and/or planned by the 
administration of the institution; 

(B^ — These — needs — Htay — bo for existing 
educational — programs — and — students 
presently enrolled or for new educa 
tional programs approved by the State 
Board and/or anticipated increase in 
enrollment; 

fG3 — It shall specifically be a requirement 
that such plans prov i de adequately for 
#hs — comprehen s ive curriculum — pfo- 
grams assigned to an institution, and 
that this be shown on the application 
forms; 

{&) — include with this preliminary request 
an up to date site plan showing exist 
ing facilitie s and proposed new addi 
tions including parking areas, major 
streets, and roadways; 

(C3 — Include preliminary schematic plans, 
topographical map. estimated cost of 
equipment and other schedules which 
would aid in s ecuring approval for the 
proposed project; 

(F) — These applications for aid shall be 
examined by the Department, which 
shall then moke recommendations to 
the State Board. 

•fG) — The State Board approval or rejection 
of this preliminary planning will be 
reported to the president of the insti 



(3^ 



tution. 
Owner Architect Agreement 



(A) — The owner architect and/or engineer 
contract — is — te — be — prepared — by — the 
Division of State Construction from 
information furnished by the institu 
lion . 



m- 



{B) — The contract should be requested by 
letter addressed to the Division of 
State Con s truction with a copy to the 
Department and should include the 
name and address of the architectural 
firm, the names and addresses of any 
consultants the architect proposes to 
employ; a listing of fund s available by 
source; and a general description of 
the project. 

i£r) — This agreement is between the institu 
tion and the architect; the State of 
North Carolina and the State Board 

are not parties to the contract. A 

s igned copy i s to be sent to both the 
Department of Community Colleges 
and the Division of State Construc - 
tion. 
Schematic Design Phase 

{A) — The architect shall submit one set of 
the schematic design to the Depart 
ment and two set s of the schematic 
design to th e Division of State Con 
s truction. 

(B) — The Department and the Division of 
State Construction will conduct re 
views of the s ubmitted de s ign. — Com 
ments will be furnished to the archi 
tect and the institution. 



(4)- 



Dcsign Development Phase. The archi 
tect shall submit one s et of the design 
development to the Department and two 
s ets of the design development to the 
Division of State Construction. R e view 
comments — vi4H — be — furnished — te — fhe 
institution and architect. 



(§>- 



Cor 



-TlK 



instruction Document — Pha s e. Hie 

architect s hall s ubmit one set of the 
construction document to the Depart 
ment and two sets of the construction 
document to the Division of State Con 
s truction. — Review comments will be 
furnished to the institution and archi 

{€) Federal Wage Rate Determination. — A 

federal — wage — rate — determination — is 
required for all projects funded wholly 
or partially from federal s ource s . — The 
determination must be a part of the 
project specifications and should be 
requested from the Department approxi 
matcly eight weeks prior to the advcr 
tising for bids. 

Adverti s ing for Bids. Permission to 

advertise the project for bids must be 



e^ 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1578 



PROPOSED RULES 



socurod from the Dopmtment and the 
Di\ision of Stat e Construction. 

{^ Rocoipt and Opening of Bid s . fte 

institution shall insure that a member of 
the Department or the Division of State 
Construction is pre se nt at the opening 
of bids. 

f9^ Av\'ard of Contract s 

(A) — The institution's board of trustees, in 
formal session, should approve the 
awarding of contracts as recommend 
cd by the architect and the president 
of the institution. — This formal action 
should be reported to the Division of 
State Con s truction by letter, with a 
copy to the Department, a s s oon as 
possible after the opening of bids In 
order that approval from that division 
and — from — the — Department — may — be 
secured without undue delay. 

fB-) Contracts are not to be awarded with 

out the approval of the Department 
and the Divi s ion of State Construe 
lion , 

<40^ State Board Final Approval. The board 

of trustees shall malce application for 
final approval of projects and funds on 
form s — provided — by — tbe — Department. 
The application forms will include the 
actual co s t s , s cope, s ource of funds, 
and certification of s ource of energy for 
the project. 

f4-+-) Contract Authentication 

fA-) — After the contracts have been signed 
by the contractors and the institution, 
they should be sent to the Division of 
State Construction in order that the 
Attorney General's Office may rule 
on the authenticity of the documents 
and the budg e t divi s ion of the Depart 
ment of Admini s tration inay certify 
the availability of funds: 



ftV 



furnish — frvre — copies — when — &ftiy 



local 



t Q t 



o r 



vocational education — funds — are 
involved: 

{Hj furnish seven copie s when other 

federal fund s are involved. 
f&) — The contracts will be returned for 
distribution. — Construction should not 
start prior to the receipt of authenti 
eated contract s . 

■(45-) Pre con s truction Conference 

i-Arf — Prior to the s tart of construction, a 
conference of in s titutional per s onnel 



and contractor s should be called by 
the architect to review all aspects of 
the project and to resolve any qucs 
tions. 

fB^ — When vocational education funds arc 
involved. — the — Department — mu s t — be 
represented. 

fG^ — When — other federal — fund s — are — ifl- 
volved. the concerned agency or the 
Department mu s t be represented. 

■(4^^ State Board Reimbursement of Capital 

Funds. — The procedures for reimburse 
ment of capital funds arc e s tabli s hed by 
the Accounting Procedures Manual as 
publi s hed by the Auditing and Account ' 
ing Section of the State Board. 
(44) Change Order s 

i-Aj — Change order s — af=e — changes — te — the 
signed contracts and are binding on 
both parties. They arc to be approved 
by the contractor, institution, archi 
tect. Division of State Construction, 
and the Department. 

iWi In the case where only local, state or 

vocational education — fund s — are — m- 
volvcd, — fWe — copies of the change 
order — should — be — forwarded — te — the 
Division of State Construction. 

f€3 — Id the case where other federal funds 

arc involved, change orders should be 

made in s even copies and forwarded 

to the Division of State Construction. 

i4S) Final Inspection 

fA-) — The Division of State Construction i s 
responsible for malcing the final in 
spection. 

■fB) — After the final inspection the institu 
tion will be furnished by the Depart 
ment, a Final Inspection Certification 
form to be s igned by the president 
and the architect, certifying that the 

building project i s complete. Thi s 

form should be in triplicate. — After 
approval by the Department, one copy 
will be returned to the in s titution, one 
retained by the Department, and one 
furnished to the — Auditing and — Ae- 
counting Section. — After receipt of the 
signed Final Inspection Certification, 
the Auditing and Accounting Section 
will relea s e the rctainage of state and 
vocational education funds involved in 
the project — vv'hen — reque s ted on the 
appropriate Department form. 



1579 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



(16) — Final Report and As Built Drawings. 
The architect is rcquirod to furni s h a 
final report and drawing s representing 
the Finished project. — One copy of the 
report and one set of drawing s arc to be 
furnished to the Division of State Con 
s truction. — One copy of the report i s to 
be furnished to the Department. 

Statutory Authority G.S. 115D-5; 115D-31; 
U5D-32; 115D-54; 1150-58.4; P.L. 90-576. 

.0603 SITES: LOCAL ZONING 
PROTECTION 

The establishment of a community college or 
technical institute may attract undesirable uses to 
the immediate vicinity of the site. The State Board 
strongly recommends that the appropriate local 
governing body pass suitable regulation s for the 
adequate protection of each institution from such 
undesirable uses. 



Statutor}' Authority G.S. 115D-5; 115D-14; 
115D-15. 

.0604 LIFE-CYCLE COST ANALYSIS 

Unle ss judged by the State — President to be 
unnecessary because of scope and proposed use of 
facility, plans — for all — project s shall — include a 
lif e cycle co s t and energy con s umption analy s i s of 
the project. — Procedures for implementation of the 
life cycle cost and energy consumption analysis 
shall be those set by the Division of State Con 
struction. 



Statutory Authority G.S. 133-1.1; 115D-5. 

SUBCHAPTER 2E - EDUCATIONAL 
PROGRAMS 

SECTION .0100 - PROGRAM 

CLASSIFICATION: DEGREES: DIPLOMAS 

AND CERTIFICATES 

.0101 PROGRAM CLASSIFICATION 

Each institution should offer a comprehensive 
program as accessible as possible to all citizens by 
offering — courses — and — programs — at — convenient 
locations away from institutional campuses as well 



a s on campus. The criteria and basis for classify- 
ing the programs offered in the institutions colleg- 
es are set out in this Rule: 
(1) Curriculum Programs 
(a) College Transfer Education programs 
consist of planned academic curriculum 



programs leading to an Associate in 
Arts (A. A.), Associate in Fine Arts 
(A.F.A.), or Associate in Science 
(A.S.) degree and are designed to allow 
for transfer to the junior year of a 
senior institution, college at the junior 
level. 

(b) General Education Curriculum pro- 
grams consist of basic course work in 
English, literature, fine arts, philoso- 
phy, social science, science and mathe- 
matics leading to an Associate in Gen- 
eral Education Degree (A.G.E.) or 
Certificate in General Education. 
They ar c It is designed principally for 
students who desire two years of gener- 
al education beyond the high school 
level Thi s program and is not princi- 
pally designed for college transfer. 

(c) Technical Education Curriculum pro- 
grams are designed to prepare individu- 
als for employment, and completion of 
the curriculum leads to an Associate in 
Applied Science (A. A.S.) degree. 
These programs involve the application 
of scientific principles in research, 
design, development, production, distri- 
bution, or service. 

(d) Vocational Education Curriculum pro- 
grams consist of a series of courses 
which are designed to prepare an indi- 
vidual for employment in a specific 
occupation. These programs consist of 
a sequence of courses which generally 
can be completed in one year or less by 
a fiill-time student. Successful comple- 
tion of a vocational curriculum program 
leads to a diploma or certificate. 

(2) Continuing Education Programs 

(a) Occupational Extension courses consist 
of single courses, each complete in 
itself, designed for the specific purposes 
of training an individual for employ- 
ment, upgrading the skills of persons 
presently employed, and retraining 
others for new employment in occupa- 
tional fields. 

(b) Academic exten s ion courses consist of 
single courses, each complete in itself, 
de s igned to serve the academic cduca 
tional needs of adult citizens, including 
courses in humanities, mathematics and 
s cience, and social science. Communi- 
ty Service/Visiting Artist Program: 



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1580 



PROPOSED RULES 



{[} Subject to procedures established by 
the State Board, the Community 
Service/Visiting Artist Program in- 
cludes academic, practical skills, 
avocational courses, and cultural and 
civic activities. 

(ii) The instructional component of this 
program may be comprised of courses 
in the fields of academic, practical 
skills, and avocational education. 
Instruction offered in this program 
shall consist of single courses, each 
complete in itself, designed to serve 
the specific academic, practical skill, 
or avocational needs of adult citizens. 
Academic courses are designed to 
serve the academic educational needs 
of adult citizens; practical skills 
courses are designed to provide train- 
ing for persons pursuing additional 
skills which are not considered their 
major or primary vocation but may 
reasonably lead to employment; and 
avocational courses focus on an 
individual's personal or leisure needs 
rather than occupational or profes- 
sional employment. 

(iii) The cultural and civic, and visiting 
artist component of this program 
meets community needs through 
lecture and concert series, art shows, 
the use of college facilities by com- 
munity groups, providing speakers to 
community organizations, and provid- 
ing visiting artist activities for college 
communities. Qualifying visiting 
artists are provided an opportunity to 
work as artists in residence to en- 
hance local arts resources and pro- 
mote the various visual, performing 
and literary arts in communities 
throughout North Carolina. 



ie)- 



(^ 



Practical vSkill s exten s ion cour s e s con 
sist of single cour s e s , each complete in 
itself, — designed — te — prov i de — practical 
training for persons pursuing additional 
s kill s whioh ar e not oonsidored their 
major or primary' — vocation — but may 
supplement income or may reasonably 
lead to employment. 
Avocational exten s ion courses consist 
of single courses, — eaeh — complete — m 
itself, which focus on an individual's 
per s onal or l eisure needs rather than his 
occupation, profes s ion, or employment. 



0^ Preparatory or Developmental Programs 

fa) Developmental or Guided Studies pro 

grams — include — courses — de s igned — (© 
provide students with academic skills 
development necessary for entering into 
curriculum or extension instructional 
programs. 

(c) Self-Supporting Programs: 

(i) A self-supporting course is not reported 

to ^is state for budget FTE since the 
cost of conducting the course is paid by 
students enrolled. 

(ii) Recreational programs are self-support- 
ing courses which the college may 
provide at the request of the community 
but for which the college receives no 
budgetary credit. Funds appropriated 
as operating expenses for allocation to 
the colleges shall not be used to support 
recreation courses. The financing of 
these courses by a college shall be on a 
self-supporting basis, and membership 
hours produced from these activities 
shall not be counted when computing 
full-time equivalent students for use in 
budget-funding formulas at the state 
level. 

(d) Basic Skills Programs. The State Board 
and the community college system shall 
encourage persons to complete high 
school rather than seek testing for the 
High School Diploma Equivalency. 

(i)fb^ Adult High School Diploma Equivalen- 
cy Programs. 

■(i) Adult High School Diploma programs 

consist of classroom instruction, or 
learning laboratory courses, or a combi- 
nation of both designed to qualify a 
student for an adult high school diplo- 
ma under an Agreement of Affiliation 
with a local public school system. 
Approval is given to trustees of com- 
munity colleges to enter into an agree- 
ment of affiliation with a local board of 
education to establish an adult high 
school diploma program subject to 
procedures established by the State 
Board. 

(ii) General Educational Development 
(GED) programs consist of classroom 
instruction, or learning laboratory 
courses, or a combination of both de- 
signed to qualify a student s ucce ss fully 
to demonstrate competency m on the 
General Educational Development 



1581 



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PROPOSED RULES 



(GED) Tests (GED) and to receive a 
High School Diploma Equivalency 
Certificate from the State Board. The 
State Board is responsible for the ad- 
ministration of the General Educational 
Development Testing program in coop- 
eration with the Office on Educational 
Credit of the American Council on 
Education. The General Educational 
Development (GED) Testing program 
will be subject to procedures established 
by the State Board. 

(iii) Adult Basic Education (ABE) programs 
include courses at the elementary in 
s truetional — levd — (through the eighth 
grade) — usually with emphasis on com 
municativc. computational, and social 
skill s — given to enable an adult or youth 
beyond the age of compulsory school 
attendance — te — raise — his/her — level — &f 
education, pursue a program of occupa 
tional training, and/or function more 
adequately as a citizen in a democratic 
society, are designed for adults who 
are functioning at or below the eighth 
grade educational level. The major 
objectives of the program are to enable 
adults to acquire the basic educational 
skills necessary to be fully competent in 
our society, to improve their ability to 
benefit from occupational training and 
to have greater opportunities for more 
productive and profitable employment, 
and to meet their own objectives for 
enrolling m the program. Classes are 
offered and focus on fundamental skills 
such as reading, writing, speaking, 
computing, critical thinking, and prob- 
lem solving skills. 

(iv) English as a Second Language (ESL) 
Program offers classes which accommo- 
date the varied needs of the immigrant 
and refugee populations. Attention is 
given to both the cultural and linguistic 
needs as instruction is focused upon the 
formation of accurate, appropriate 
communication skills and upon the 
student's ability to function [n the adult 
American community. Classes are 
offered at the beginning through the 
advanced levels of ESL. The curricu- 
lum is designed to develop the basic 
language skills of reading, writing, 
speaking, and listening. Instruction 
integrates the English language with 



topics that prepare students for every- 
day life, employment, and citizenship, 
(v) The Compensatory Education (CED) 
Program is designed for adults with 
mental retardation. The program is 
highly individualized and fosters a 
maximum level of independent living 
commensurate with personal ability. 
Instruction is offered in math, language, 
social science, health, community liv- 
ing, consumer education and vocational 
education. 
(5) Business and Industrial Training: 

(a) The Focused Industrial Training Pro- 
gram addresses critical skills in existing 
industries. Based on assessments of 
need, these customized classes typically 
combine on-the-job training with class- 
room instruction to up-grade or train 
incumbent employees of manufacturing 
industries. 

(b) The New and Expanding Industry 
Training Program offers customized, 
job-specific training to new or expand- 
ing companies creating new jobs in the 
state. 

(c) The Small Business Center Program 
provides training, counseling and refer- 
ral services especially designed m 
content and delivery modes for small 
businesses, both existing and prospec- 
tive. 

(6)f4) Special Instructional Programs: 

(a) Human Resources Development (HRD) 
programs are js an intensive program 
and unified efforts to recruit, train, and 
either place in employment or optional 
iy-; vocationally train chronically unem- 
ployed or underemployed adults. The 
primary objective of the training com- 
ponent is to help the jobless trainee 
reorient orient himself or herself to the 
world of work, appreciate the effects of 
his or her behavior on others, and 
develop the basic academic and commu- 
nication skills prerequisite to obtaining 
and maintaining employment. 

(b) Job Training Partnership Act (JTPA) 
programs consist of occupational train- 
ing and basic education for disadvan- 
taged persons. 

(7) fb)Learning Laboratory programs consist 
of self-instruction using programmed 
texts, audio visual equipment, and other 
self-instructional materials. A learning 



7:15 



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November 2, 1992 



1582 



PROPOSED RULES 



laboratory coordinator has the function of 
bringing the instructional media and the 
student together on the basis of objective 
and subjective evaluation and of counsel- 
ing, supervising, and encouraging per- 
sons working in the lab. 

(e^ Cooperative — SktH — Training — programs 

combine on the job training with cla s s 
room instruction. — Thi s program would 
fiet — require — the — formal — indenturing 

procedure aftd would combine 

pre employment — training with an 

apprenticeship type program. 

{4) New and Expanding Industry program s 

provide for the training noods of new 
industries which are mo\'ing into the 
St ate and also for existing industries 



fe^- 



(fh 



f^ 



W 



t'hich 



undergomg a major expansion whicr 
result in the need for additional skilled 
manpower. 

— Visiting — Artist — programs — ftfe — offered 
cooperatively v»'ith the North Carolina 
Arts Council. — Its purpose i s to provide 
artistic talent of a professional lex'cl to 
communities — which ordinarily would 
not have the benefit of such talent. 

— Comprehensive Employment and Train 
ing Act (CETA) programs consist of 
occupational training and basic educa 
tion for unemployed, underemployed, 
and disadvantaged persons. 

Self Supporting Programs 



Community — Service — program s — meet 
oominunity needs through lecture and 
concert series, art shows, the use of the 
institution's — facilities — by — community 
groups and by prox'iding spealvcrs to 
community organization s . Community 
services — program s — demonstrate — the 
in s titution's recognition of itself as an 



integral part of the community, with a 
major responsibility to be involved and 
to contribute to the community's overall 
cultural, civic, and intellectual growth. 

fb] Recreational programs a-r^ 

s elf supporting courses which the insti 
tution may provide at the request of the 
community but for which the institution 
receives no budgetary credit. — Athletic, 
game and hobby courses fall into thi s 
categoiy. — The cost of such actis'ities 
are — borne exclusively — by the — partici 
pants or some contracting agency. 



Statutorx Amhorirx G.S. I I5D-1 : 1 15D-2: 115D-5. 



.0102 CURRICULUM PROGRAMS: 
DEGREES, DIPLOMAS, 
CERTIFICATES 

The State Board is given authority under General 
Statute — 1 15D 5 "... to regulate regulates the 
awarding of degrees, diplomas, and certificates . 
. ." In exercising this authority, the following 
policies arc to be followed: as follows: 
(1) The approval of an institution aa a com 
munity a college constitutes authorization 
to the institution to award the associate in 
arts — degree. — ihe associate m — science 
degree, diploma, or certificate shall be by 
individual program upon meeting the 
criteria for the program as prescribed by 
the State Board, and the associate in fine 
arts degree. — This approval, however, 
doe s con s titute recognition of the respon 
s ibility of the State Board to work with 
the tru s tee s of the in s titution in order to 
enable the institution to meet the stan 
dards required for the State Board. 

i^ State Board approval of vocational and 

technical curricula with the authority to 
grant degrees, diplomas, or certificates 
will be by individual educational pro 
gram. Approval by the State Board will 
be granted when the institution college 
has demonstrated an established need and 
can meet the curriculum standards and 
provide evidence of sufficient instruction- 
al, graduation, faculty, and facility re- 
sources, facilities standards approved by 
the State Board for the educational pro 
gram for which approval is requested by 
the trustees of the institution on the ap 
propriate DCC Form. 
(2)-fJ4 The State System President of the Be 
partment of Community Colleges shall 
will recommend action on the college's 
curriculum programs application to the 
State Board, for approval. 
(3)-f4^ License to grant degrees, diplomas, and 
certificates may be withdrawn if the State 
Board find s determines that the in s titution 
a college is not maintaining approved 
program standards or graduation require- 
ments. 
(4)f^ Degrees, diplomas, and certificate s s hall 
be awarded in approved programs by 
licensed institutions on the authority of 
the tru s tees of the institution and in ac 
cordanee with s tate board approved s tan 
dards. The State Board Department of 
Community College s v\'ill shall establish 



1583 



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NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



standards and criteria and assign a prefix, 
curriculum code, a«d official title, cre- 
dential, and minimum/maximum credit 
hour length as appropriate for te each 
curriculum. 

(a) The aogociatc degree may be awarded 
for the curricula when the prefix of the 
curriculum code number is a "C" (col 
lege tran s fer), "G" (general education), 
or a — '^^ — (technical) and — meets — the 
approved — curriculum — standard s . The 
college may award the Associate of 
Arts, the Associate of Science, or the 
Associate of Fine Arts degree to gradu- 
ates of college transfer curriculums 
when the curriculum meets the criteria 
approved by the State Board. The 
college transfer curriculum shall be 96 
quarter hour credits in length. 

(b) The diploma may be awarded for cur 
rieula when the prefix of the curriculum 
code number is a "V" (vocational) or a 
"T" and meet s the approved curriculum 
s tandard s . The college may award the 
Associate in General Education degree 
to graduates of General Education 
curriculums when the curriculum meets 
the criteria approved by the State 
Board. The General Education curricu- 
lum shall be 96 quarter hour credits in 
length. 

(c) The certificate may be awarded for 
curricula that arc less than four quarter s 
in length. The Associate in Applied 
Science Degree may be awarded to 
graduates of technical curriculums when 
the curriculums meet the State Board 
standard. A technical curriculum 
length will be set by the curriculum 
standard. The minimum length for a 
technical program shall be 96 quarter 
hour credits and the maximum length 
shall be 128 quarter hour credits but, 
on special approval by the State Board, 
may exceed 128 quarter hour credits in 
length. 

{€j The State Board s hall approve and fur 

nish institutional trustee s general format s 
for degrees, diplomas, and certificates on 
which the name of the in s titution, the 
program, course or courses completed, 
the name of the graduate, and the signa 
ture required by the trustees can be in 
sertcd. 



i^ The community colleges in the North 

Carolina System of Community Colleges 
are authorized to award an associate in 
arts or associate in aeience degree to 
graduates of the pre professional college 
transfer program options which meet the 
curriculum requirements approved by the 
State Board. 

i^ Curriculum requirements for the associate 

m arts and associate in science degree 
programs: 

(e) communications (grammar and/or com 

position): A. A. (9 10 qtr. hrs.); A.S. 
(9 lOqtr. hrs.); 

{b) humanities — and — fifte — arts — (literature, 

modern language, religion, music, art. 
philosophy, speech): — A. A. (1 4 1 8 qtr. 
hrs.); A.S. (6 qtr. hrs.); 

fe) mathematics: — A. A. (5 10 qtr. hrs.); 

A.S. (18 20 qtr. hrs.); 

(d) science: — A. A. (9 12 qtr. hrs. with 3 

qtrs. biology or physical lab. science 
s equence); A.S. (2 4 qtr. hrs. with 2 
yr s . of lab. science); 

{e) social science: — A. A. (12 15 qtr. hrs.); 

A.S. (9 qtr. hrs.); 

ff) physical education: A. A. — (3 6 qtr. 

hrs.); A.S. (3 6 qtr. hrs.); 

(g) clectivcs (It is recommended that elec 

tivcs be talcen in the liberal arts area 
and/or cognate areas to the major.): 
A. A. (25 44 qtr. hrs.); A.S. (21 27 qtr. 
hr s .); (A maximum of 6 quarter hours 
credit of cooperative education or work 
experience — may — be — included — m — the 
elective credit hour s .); 

<%) total credit hours required for the Asso 

ciatc in Arts and A ss ociate in Science 
Degree shall be 96 quarter credit hours. 

{9) A ss ociate in Fine Arts 

(a) The community colleges in the North 

Carolina System of Community Colleg 
es are authorized to av»'ard an associate 
tfl — fine arts — degree — te — graduates — ©f 
pre professional college transfer pro 
gram option s which meet the curricu 
lum requirements approved by the State 
Board . 

^ Curriculum requirements for the as s oci 

ate in fine arts degree program: 

i+) communications — (grammar — and/or 

composition): A.F.A. (9 lOqtr. hrs.); 
ii¥) — humanities — (literature. — modern — lan- 
guage, religion, music, arts, philoso 
phy, s peech): — A.F.A. (12 qtr. hrs.); 



7:15 



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November 2, 1992 



1584 



PROPOSED RULES 



fiii^ — i jcicnec and/or mathematic s : — A . F . A . 

(5 10 qtr. hro.): 
ft¥^ — social science: — A.F.A. (9 qtr. hrs.): 



A.F.A. (3 qtr. 



{-¥■) physical education: 

lw*T4f 

ifr^ — clectives — t4l — is — recommended — that 
clcctives be taken in the liberal art s 
area and/or cognate areas to the ma 
joivH — A.F.A. (3 22 qtr. hrs.): (A 
ma.ximum of 6 quarter hours credit of 
eooperatixe education or work experi 
ence may be included in the elective 
credit hours.): 

(vii) professional program courses: 

A.F.A. (36 5 4 qtr. hrs.): 

(\iii) total credit hours required for the 
Associate in Fine Arts degree shall be 
96 quarter credit hours. 



Skiniron Autharin- G.S. 115D-2: 115D-5. 

.0103 FORMAT 

Copies of format s for degrees, diplomas and 



jrtificates arc axailable from the Department of 



Community College s . 

Srururon- Authorin- G.S. 115D-5. 



clinical practice is under the supervision 
of an instructor. 
(4) Credit of one quarter hour is awarded 
for 1 10 hours of "work experience" 
such as cooperative education, 
practicums. and internships. Work 
experience involves the development of 
job skills by providing the student with 
an employment situation that is directly 
related to. and coordinated with, the 
educational program. Student activity 
in work experience is planned and 
coordinated by an institutional a col- 
lege representative, and the employer is 
responsible for witfe control and super- 
\ision of the student on the job. being 
the responsibility of the employer. 
£b}-ffr) Non Credit — Hours. Practice hours are 

non-credit hours. Practice hours involve the 

student in a practice session to develop skills. 

Practice hours are under the super\'ision of an 

instructor. 

Statutory Authorin- G.S. USDS. 

SECTION .0200 - CLTUilCLXL^I 
PROGR.\MS 



.0104 QLWRTER HOUR CREDITS 
DEFINED 

(aj Awarding of Credits. Quarter hour credits 
are awarded to students for class work, laboratory, 
manipulative laborator)' or shop, clinical practices, 
and work experiences such as cooperati\'e educa- 
tion, practicums. and internships as follows: 

{fe3 — Definition s . 

( 1 ) Credit of one quarter hour is awarded 
for each 11 hours of "class work." 
Class work is lecture and other class- 
room instruction. Class work is under 
the supervision of an instructor. 

(2) Credit of one quarter hour is awarded 
for each 22 hours of "laboraton,'" work. 
Laboraton,' involves demonstration by 
instructor, experimentation, and prac- 
tice by students. Laboraton,' is under 
the supervision of an instructor. 

(3) Credit of one quarter hour is awarded 
for each 33 hours of "manipulati\e 
laboratory' or shop" or "clinical prac- 
tice." .Manipulative laboraton,'. shop or 
clinical practice in\ ohe development of 
manual skills and job proficiency. 
Mampulati\e laboratory' or shop or 



.0201 ESTABLISHING OR 

TERMINATEVG CLURICLXL^IS 

(a) Application for New Vocational or Technical 
Curriculum 



f4+- 



Under the provi s ions of G.S. 1 15D. the 
Pre s ident will s ubmit for State Board 



-4&f 



approval — institutional applications Tor 
vocational and technical curricula to be 

offered by — institutions. In order to 

provide for an orderly and equitable 
distribution of such curricula on the 
basis — of demon s trated — need — and — t© 
further strengthen the total system of 
vocational — and — technical — education 
programs conducted through the depart 
ment. the advance approval of the State 
Board of all curricula i s required. 

i^ Proposal for New Curriculum. — In s titu 

tions will initiate proposals for a new 



curriculum — bv- 



collecting — pertinent 
information and — submitting — re s ulting 
data on appropriate application forms. 
Thi s application form must be signed 
by the institution's president and chair 
man of the board of trustees and for 
warded to the department. 



1SH5 



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NORTH CAROLINA REGISTER 



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PROPOSED RULES 



(a) All vocational and technical curriculum 
programs must be approved by the State Board 
prior to being offered by any college. 

(1) State Board approval of a vocational or 
technical curriculum with the authority 
to grant a degree, a diploma, or a 
certificate will be by individual curricu- 
lum. Approval by the State Board will 
be granted when the college has demon- 
strated an established need, can meet 
the curriculum standard, and has pro- 
vided evidence to the State Board of 
sufficient instructional faculty, facility 
and other resources. The System Presi- 
dent recommends action to the State 
Board on a college application. The 
college will initiate the proposal for a 
new curriculum by collecting and sub- 
mitting information in accordance with 
criteria approved by the State Board. 
The application must be signed by the 
college president and the chairman of 
the college's board of trustees. 
The college is required to terminate a 
vocational or technical curriculum when 
there has been no enrollment for two 
A college may 



121 



years. 



request a one- 



year extension not to terminate a curric- 
ulum upon justification of the potential 
for employment opportunities and stu- 
dent enrollment. A vocational or tech- 
nical curriculum shall be terminated by 
action of the State Board. Each college 
planning to terminate a curriculum shall 
inform the System President by submit- 
ting a termination notice on the appro- 
priate departmental form. 
ihj — Termination of Vocational or Technical 



Curriculum 



H^ 



Each 



institution planning to terminate 
an exi s ting full time vocational or tech 
nical curriculum shall notify the depart 
ment of this decision. 

t33 Notice of Termination. To aid the 

department — m — maintaining — accurate 
records of curricula offered by each 
in s titution, the in s titution s s hall inform 
the department of curriculum termina 
tion by submitting the information on 
the appropriate form. A curriculum not 
offered for two years by an institution 
shall be roportod a s terminated. 
£b){e) Approval of General Education Curricu 
lum Program s . The State Board authorizes the 
System President to approve general education 



curriculum programs for institutions in the System. 
in accordance with criteria a pproved by the State 
Board. 

t4^ The clu s ter of general education courses 

should — include — &Be — er — more of the 
following disciplinary area s : 
fA) — English and Literature 
(B) — Fine Arts and Philo s ophy 
(€) — Social — Science s — (A course in local 

history may be included.) 
(&) — Science and Mathematics (Courses in 
local flora and fauna, history of math 
cmatica. — and — modern — mathemat i cs 
may be included.) 

(3) Associate — Degree: The — successful 

completion — of 06 — quarter — hours — ©f 
general — education — and — interest type 
courses will culminate in an Associate 

Degree in General — Education. The 

associate degree program — s hould — m- 
cludc cour s e s from each of the disci 
plinary area s listed in Subparagraph (1) 
of this Rule. 

0j Certificate: — The Successful completion 

of 30 4 5 quarter hours of general edu 
cation and intere s t type courses will be 
recognized by a Certificate in General 
Education. — The certificate — program 
should — include courses — from — two or 
more of the disciplinary areas li s ted in 
Subparagraph (I) of this Rule. 

(4) Beyond the basic core of general e duca 

tion course work, — the s tudent s — f»ay 
elect specialty courses on the ba s i s of 



their — ewn — interests. 



-Th« 



program 

should be designed to meet the local 
educational needs and should also be 
one that appeals to an entirely new and 
untapped clientele. 

i§) Total — credit — hours — required — for the 

Associate Degree in General Education 
shall be 96 quarter credit hour s . 
^4) — Approval of College Transfer Program 

fH Requirement s 

(c)fA-> The approval for an in s titution a college 
to offer a college transfer program shall be consis- 
tent with the primary mission of the institution 
college to provide adult vocational and technical 
education and basic academic education and should 
complement the institution's college's ability to 
pursue that mission. 

(1)4B) The approval of a new college transfer 
program shall be based on a legitimate. 
well documented evaluation of the 
need, demand, cost and benefits of the 



7:15 



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November 2, 1992 



1586 



PROPOSED RULES 



program, as well as an assessment of 
the institution's college's capacity to 
offer a quality program and the poten- 
tial impact of the college transfer pro- 
gram on other institutions colleges in 
the region and other programs within 
the institution, college. 

(2) Proce ss . Procedures and guidelines for 
the development and consideration of a 
feasibility study for the addition of a 
college transfer program shall be devel- 
oped by the System president and ap- 
proved by the State Board. These may 
include provisions for the requirement 
of public hearings and/or a local refer- 
endum on the proposal. 

(3) The State Board may terminate a col- 
lege transfer program upon request of 
the college or when enrollment is not 
adequate to generate the funds for the 
college to support the program. 

Statutory Authoriry G.S. 115D-5: 1150-20(6). 



.0202 BUSINESS EDUCATION POUICY 

(a) Technical institutes, community colleges, and 
technical colleges are permitted v\'ith appropriate 
approxal to offer tv\o year A ss ociate in Applied 
Science degree program s in business education and 
single business courses. 

fb^ Institutions — located — beyond — a — 25 mile 

s traight line distance of a private business college's 
campus are permitted to offer business education 
curriculum program s less than two years in length. 

fe-) In s titutions — located — within — a — 25 mile 

straight line distance of a private bu s ine ss college's 
campu s are not permitted to offer business educa 
tion curriculum programs less than two years in 
length, unless a prior written agreement with the 
private business collcge( s ) i s s ubmitted by the 
technical in s titute, community college, or technical 

college. Job Training Partnership Act (JTPA) 

programs shall be exempt from this provision. 

(d) Busine s s education curriculum program s le ss 
than two year s i n l ength are defined a s a s equence 
of courses involving secretarial and clerical skills 
s uch a s typing, shorthand, office machine s , book 
keeping, principles of accounting, machine Iran 
scription. filing, and other courses identified as 
components of the normally accepted and approved 
nine month certitlcation program provided by a 



private business college. 



fe-t — The pre 



3ns of thi s polic)' apply only to 



exi s ting private business colleges and their pre s ent 
campuses. 



ff) A newly — established technical — institute. 

community college, or technical college or unit of 
any exi s ting — institution will — be covered by the 
provision s of this policy. 

(g) If an exi s ting private business college ceases 
operation, the affected technical institutc(5). com 
munity eollegc( s ), or technical eollegc(s) will be 
exempt from (c) of thi s policy, provided no other 
private business college exists within a 25 mile 
straight line distance of the affected institutions. 



Statutory Authority G.S. USD-]; 115D-3; 115D-5. 

.0203 STANDARDS FOR TECHNICAL- 
VOCATIONAU CURRICUUUMS 

(a) Standards. The standards for each occupa- 
tional curriculum, technical or vocational, will be 
developed in accordance with the following guide- 
lines. Each in s titution college will design its 
curriculum courses and requirements to comply 
with the standards for the curriculum. Each 
institution college will also follow procedures for 
curriculum approval as outlined in .0101. .0102, 
and .0104 of this Subchapter. 

(b) Guidelines for Technical- Vocational Curricu- 
lums 

( 1 ) Each curriculum should be developed to 
meet specific occupational objectives 
and occupational educational competen- 
cies. The curriculum should be de- 
signed to lead to employment. The 
curriculum should emphasize knowl- 
edge, skills, and attitudes appropriate to 
the occupational cluster for which it is 
designed, with the necessary informa- 
tion about instruments, tools, equip- 
ment, and processes included as an 
integral part of the curriculum. 

(2) The curriculum is defined as consisting 
of a course or a group of courses orga- 
nized in a logical sequence to meet 
occupational educational goals and that 
meet the following criteria: 

(A) The curriculum consists of a course 
or courses which total a minimum of 
16 quarter hour credits. 

(B) The curriculum covers the instruction 
in the designated competencies for an 
occupation. 

(3) Curriculums leading to the Associate in 
Applied Science (A.A.S.) degree should 
require from 96 quarter hour credits to 
128 quarter hour credits for graduation. 
On special justification the State Presi- 
dent may recommend a curriculum to 



L'!S7 



7; 7.5 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



the State System Board with quarter 
hour credit requirements above the 
maximum of 128. Total quarter hour 
credits required for each curriculum 
will be established at a minimum with 
the maximum allowed being no more 
than 10 percent above the minimum. 

(4) Curriculums leading to the diploma 
should require from 64 to 128 quarter 
hour credits for graduation. Quarter 
hour credits for each curriculum will be 
established at a minimum with a maxi- 
mum being no more than 10 percent 
above the minimum. 

(5) Certificates may be awarded to a gradu- 
ate of a curriculum of fewer than 64 
quarter hour credits in length. 

(6) Technical Curriculums 

(A) Technical curriculums should be 
designed to prepare individuals for 
employment in fields recognized as 
semiprofessional or paraprofessional 
in status. They should be composed 
of collegiate-level studies (not neces- 
sarily transferable) providing a greater 
degree of theoretical knowledge than 
manipulative skills and should be 
oriented to a broad occupational 
cluster. 

(B) Graduates from a technical curriculum 
should have at least 18 quarter hour 
credits in the areas of English, social 
science, and/or the humanities. 

(C) The Associate in Applied Science 
degree may be awarded to the gradu- 
ate of a technical curriculum with 96 
quarter hour credits or more. 

(7) Technical Specialty Curriculums 

(A) Technical specialty curriculums 
should be designed to prepare individ- 
uals for employment in fields recog- 
nized as semiprofessional or parapro- 
fessional in status. They should be 
composed of collegiate-level studies 
(not necessarily transferrable) provid- 
ing a greater degree of theoretical 
knowledge than manipulative skills. 

(B) Technical specialty curriculums 
should include only those general 
education and related courses neces- 
sary to support the technical courses 
offered in the curriculum. 

(C) Technical specialty curriculums usual- 
ly are composed of selected technical 
courses designed to prepare for a 



particular technical skill. Technical 
specialty curriculums may range from 
16 to 95 quarter hour credits for each 
curriculum established at a minimum 
with the maximum allowed being no 
more than 10 percent above the mini- 
mum. 

(D) The diploma may be awarded to the 
graduate of a technical specialty cur- 
riculum 64 to 95 quarter hour credits 
in length. 

(E) The certificate may be awarded to the 
graduate of a technical specialty cur- 
riculum with fewer than 64 quarter 
hour credits in length. 

(8) Vocational Curriculums 

(A) Vocational curriculums should be 
designed to prepare individuals for 
skilled or semiskilled employment 
opportunities. Study is primarily 
oriented to the development of manip- 
ulative skill competencies for use in a 
specialized occupation. 

(B) Graduates from a vocational curricu- 
lum should have at least 6 quarter 
hour credits in one or more of the 
areas of communications skills, ap- 
plied sciences, and applied social 
sciences. 

(C) TTie diploma may be awarded to the 
graduate of a vocational curriculum 
that is 64 or more quarter hour credits 
in length. The certificate may be 
awarded to the graduate of a vocation- 
al curriculum of fewer than 64 quarter 
hour credits in length. 

(9) Vocational Specialty Curriculums 

(A) Vocational specialty curriculums 
should be designed to prepare students 
for skilled or semiskilled employment 
opportunities. Study is primarily 
oriented to the development of manip- 
ulative skills for use in a specialized 
occupation. 

(B) Vocational specialty curriculums 
usually include only those subjects 
necessary to support the development 
of the skills for the specialized occu- 
pation. Vocational specialty curricu- 
lums should be a minimum of 16 
quarter hour credits in length. 

(C) A certificate may be awarded to the 
graduate of a vocational specialty 
curriculum. 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1588 



PROPOSED RULES 



(10) Procedures for Establishing Standards 
for Each Curriculum 

(A) The standards for each curriculum 
will be established jointly by the 
department of Community Colleges 
and the institutiono) college(s) offer- 
ing or proposing to offer the curricu- 
lum. 

(B) A curriculum may ha\e subject cate- 
gories established with 
minimum-maximum quarter hour 
credit ranges for the subject area. 
Technical curriculums will have mini- 
mum quarter hour credits established 
for the following subject categories: 
technical, related and general educa- 
tion. Electi\e quarter hour credits 
may also be included as a category. 
Vocational curriculums may have 
subject categories established. 

(C) A minimum percentage of quarter 
hour credits awarded to class work 
will be specified for each curriculum. 

(D) Cooperati\e education or work expe- 
rience may be included in the curricu- 
lum up to a maximum of 12 quarter 
hour credits. 

(Ill Procedures for Changing Standards for 
Each Curriculum. Changes in stan- 
dards for each curriculum will require 
the approval of the State Board. Re- 
quest for changes in the standards 
appro\ed by the State Board for a 
curriculum may be made to the Board 
under the following conditions; 
(A) request to the department of Commu 
nit\- Colleges to change the standards; 
(Bj concurrence by the majority of institu 
tions colleges offering the specific 
curriculum; and 
(C) concurrence by the department, ©f 
Community College s . 
(12) Procedures for Designing Curriculums 
at the College Institutional Le\el; 

(A) The institution college will be respon- 
sible for the design of the curriculum 
at the in s titutional college level. 

(B) The curriculum will adhere to the 
standards as approved b\' the State 
Board for the curriculum. 

(C) When standards are to be developed 
for a new curriculum, the institution 
college or institutions colleges plan- 
ning to submit applications to the 
State Board for curriculum approval 



will jointly develop the standards with 
the department of Community Collcg 
es for the proposed curriculum for 
presentation to the State Board for 
action. 
(D) The in s titution college will maintain 
on file with the department of Com 
munity Colleges a copy of the official 
curriculum approved by the 
institution's college's board of trust- 
ees. A copy of each revised curricu- 
lum will be filed with the department 
of Community College s prior to im- 
plementation at the institution, col- 
lege. 

Statutory Aurhoriry G.S. 115D-5. 

SECTION .0300 - GENERAL ADLXT: 

SPECIAL EXTENSION: AND 

COi\EVnjMT\ SERVICE 

.0301 ADLTLT fflGH SCHOOL 

(a) Approval is given of an agreement of affilia 
tion for an adult high school diploma program 
established cooperatively between a local board of 
education and the trustee s of an institution (for the 
institution and or an extension unit) in the commu 
nity college system. A copy of the agreement may 
be obtained from the Department of Community 
Coll e g es . 



(b) Agreement of Affiliation Amendment, 
agreement — of affiliation — is — changed — under the 
section on General — Student Eligibility Require 
ments. Item 2. to read as follow s : — For admission 
to the adult high school diploma program, a person 
must be at least 18 years of age. or as described 
under the general admission rule for community 
college s and technical institutes. 



Statutory- Authorirx G.S. 115D-1: ll:>D-5. 



.0302 .^DLTT VOCATIONAL PROGIL\.MS 

fa-> — .As a general policy, the State Board will - 
a ss ign to the Department of Community Colleges 
re s pKjn s ibility for state level administration of all 
vocational — programs — f&f — adult s . — except — those 
programs — normally — carried — ©n — by — distributive 
education, agriculture and home economics teach 
ers as a regular part of their dutie s . — For purposes 
of this policy statement, an adult is defined as a 
person — ¥t4M — has — completed high — school. — or a 
person who has attained age 18. or a per s on with 
special needs. 



1589 



7:15 



SORTH CAROL! X A REGISTER 



November 2, 1992 



PROPOSED RULES 



ihj — In the diseussion of tho above policy, "a 
person with special needs" waa defined a s a s chool 
dropout who is not yet 18 years of age but whose 
educational needs cannot be met properly in th e 
school program. 

(c) It is also interpreted that programs carried on 
as part of their regular duties (without extra pay) 
by — teacher s — other — thefi — agricu l ture — and — home 
economics teachers, — are not prohibited by this 
policy. 

f#) — This policy assigns to the Department of 
Community Colleges responsibility for exten s ion 
programs for adults. Selected high school students 
may be enrolled in extension courses in a eommu 
nity college, technical institute, or technical col 
lege under the provisions and procedures set forth 
in 23 NCAC 2C .0301(d). 

Statutory Authority G.S. 115D-1: 115D-5. 

.0303 GENERAL EDUCATIONAL 

DEVELOPMENT (GED) TESTING 
PROGRAM 

(ft) — The department, under the state board is 
responsible for the administration of the General 
Educational — Development — Testing — program — m 
cooperation with the office on Educational Credit 
of the American Council on Education. 

(b) The State Board and the Community College 
System shall encourage persons to complete high 
s chool rather than seek testing for the High School 
Diploma Equivalency. 

fe) — Title of State Credential: High School 

Diploma Equivalency. 

(d) Minimum Requirements for Testing: 

^ Any person 16 or 17 years of age meet 

ing one of the following conditions may 
be admitted to testing: 
(A) — Incarcerated in a correctional institu 
tion. correctional youth center, train 
ing s chool for adjudicated youth, or 
similar institution; 

{B) — A patient ef resident e4 a 

state operated — hospital — or alcoholic 
r e habilitation center; 
i:Gj — Enrolled — ifi — er — have — completed — et 
program of instruction provided by 
the Job Corps or other such agency, 
or an apprenticeship training program; 
ef 
f©) — A — member — ©f — the — United — States 
Armed Forces. 

f5) Any per s on 16 or 17 year s of age hav 

ing officially dropped out of s chool and 
ftot — subject to — the conditions — in thi s 



Rule may be admitted to testing provid 
e^ 
fA^ — Application is supported by a nota ^ 
rizcd petition of the individual' s par - 
ent, legal guardian, or other person or 
agency — having — legal — custody — aftd 
control over the applicant; the petition 
shall certify' the applicant's residence, 
date of birth, date applicant officially 
Vt'ithdrcw — from — school — and — the 
petitioner's legal relationship to the 
applicant; and 
(B) — Application for testing is made no les s 
than six months from the date the 
applicant — officially — Vt'ithdrcw — from 
s chool. — However, all or any part of 
the six month v»'aiting period may be 
waived — by the chief administrative 
school officer of the public or private 
school unit in which the applicant 
resides. — This waiver may be accom 
plished through the endorsement of 
the notarized petition by the supcrin 
tendcnt or his de s ignee; or 
iiGj — Applicant is an emancipated minor. 

{ij AH — per s on s — shaH — have — officially 

dropped out of school prior to applying 
to talte the GED tests. 

f4) These requirement s s hall apply to both 

public and private s chool students. 
fe) — Requirements for Issuance of High School 
Diploma Equivalency: 

f4-) Minimum T es t Score s . A standard 

score of 35 on each of the five tests and 
a total of 225 on all five te s t s . 

(S) Minimum age: — ^#7 

<-3) Residence. — Legal residents of North 

Carolina — or armed — force s — personnel 

stationed within the geographic confines 

of this State (and members of their 

immediate — families — living — tfi — their 

households) are eligible to take the 

GED tests. 

#) — Requirements for Rctesting. — Part or all of 

the GED test battery may be taken again after a 

period of at lea s t six months from the date the tests 

were fir s t talcen. — The procedure in applying for a 

rctest is the same as required for the original test. 

In some instances a retest may be authorized in 

le ss than s ix months by the chief examiner of an 

official GED te s ting center or by the State GED 

Administrator, upon pre s entation of satisfactory 

evidence of intensive study to the chief examiner 

or other written justification sati s factory to the 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1590 



PROPOSED RULES 



President of the Community College System or hi s 
designee. 
tg-) — Security. 

f4^ The sceurity of the te s t s , the integrity 

of the testing program and the validity 
of test seorea attained shall be proteet 
cd; and the President of the Community 
College System or his designee may 
resolve any doubtful case by requiring 
the applicant to retc s t. 

(3^ A — person — wfee — begins testing at an 

official GED testing center shall com 
plete testing at that center. — If the per 
son needs to continue testing at another 
center, the per s on s hall have approval 
from the office of the State GED Ad 
ministrator; — otherwise, — 9«eh — testing 
shall be invalid. — The same rule shall 
apply to reteating when a person com 
pletes the GED test battery and fails to 
achieve a passing score. 
{^ — Method of Applying. — Civilian applications 
must be on a special form obtainable from the 
office of the State GED Administrator, the Depart 
ment of Community Colleges, offices of local 
superintendent s of schools, and college s of th e 
Community College System. Applications must be 
endorsed and approved by a president of a college 
of the Community College System or his designee, 
or by the manager of a Veterans Administration 
hospital having an authorized educational therapy 
program. — Applications from military' personnel 
must be on the appropriate Department of Commu 
nity Colleges form endor s ed by the military educa 
tion officer. 

(i) Official Transcripts. — Test s cores arc accept 
ed as official only when reported directly by: 

fH Official GED center s , 

f2^ Transcript Service of the Defense Ac 

tivity — for — N'on Traditional — Education 
Support (DANTES), 

{i) Veterans Administration ho s pital s and 

centers, and 

the GED Te s ting Service. 



(j) Fee: 

<-H A fee is required from each student 

(applicant) who take s the General Edu 



cational — Deveic 



;nt (GED) Test at 



■pifl- 

official GED Testing Centers in the 
community college system. — Two do I 
lars and fifty cents ($2.50) of the GED 



fee s hall be used to 



the cost for 



pay 

scoring the written essay part of the 
test: this portion of the fee s hall be 
deposited a s s tate fund s . — The remain 



0>- 



ing portion of the GED foe shall revert 

to the General Fund. 

Issuance — ef — High — School — Diploma 



Equivalency; no charge, 
(k) The state board s hall, upon the rccommenda 
tion of the State GED Administrator, determine the 
tabli s hment or di s e s tablishment of GED 



e* 
center s . 



testing 



f4^ — GED testing centers shall inform the State 
GED — Administrator of any new, — alternate, — ©f 
replacement chief examiners and proctors before 
such persons assume their duties. 



ffl^ 



Recordkeeping. Official — GED testing 



centers shall supply the State GED Administrator's 
office — with — information — nece ss ary — te — maintain 
permanent records on all examinees. 

Statuton- Authority G.S. 115D-1; 115D-5: S.L. 
1987. Ch. 738. S. 219. 

.0304 THE VISITING ARTIST PROGRAM 

(a) The Visiting Artist Program is a cooperative 
grant program of the State Board of Community 
College s (through the Department of Community 
Colleges) and the North Carolina Arts Council. 

(b) The State Board shall provide a special grant 
of fund s to cover salary, travel, telephone, materi 
als and supplie s expen s e s for a Vi s iting Artist to 
ftfty — community — oollego — or technical — institute, 
provided that the institution: 

fl-) s ubmit a reque s t for a Vi s iting Arti s t to 

the Department of Community College s 
each fiscal year of participation, 

(34 



m- 



f^ 



agree to employ an artist from an ap 
proved candidate list provided by the 
North Carolina Arts Council, and 



fror 



-(fe« 



appoint a — coordinator — rrom — tfte 

institution's staff to assist the artist in 
his or her residency activities and pro - 
motional efforts. 
fe) — It is a responsibility of the Arts Council to 
recruit — and — screen, — by — means — of professional 
panels, artists of exceptional — merit to become 
approved candidates. Each institution will conduc t 
it s own personal interviews of artists from this 
candidate list. 

(fH — General terms of employment for an arti s t 
shall be: 



H^ 



m- 



-n^ 



tef 



c artist may not be given rcgu 
teaching assignments in the classroom 
or individual student assignment s ; 
The artist shall be available without fee 
for lecture demonstrations, performanc 
es afld exhibition s , work s hop s . 



1591 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



PROPOSED RULES 



t^ 



i4h 



f^ 



consultancies and special projects in the 
institution's administrative area; 
Each artist shall be employed for no 
more than two consecutive fiscal years 
at any single institution and no more 
than four consecutive fiscal years in the 
Visiting Artist Program; 
An artist who is employed in one fi s cal 
yeaf — is — automatically — con s idered — an 
approved candidate for the following 
year, provided the artist is not in his or 
her fourth consecutive year of participa 
ttofl^ — Arti s t s who remain out of the 
program for one year or more must 
re apply for candidacy through the Arts 
Council; 

An artist may s erve only one institu 
tion. but artists may exchange porfor 
mances or short term residencies with 
arti s t s at other institutions participating 
in the Visiting Artist Program. 



Statutory Authority G.S. 115D-5. 

.0305 CONTINUING EDUCATION 
PROGRAM MANAGEMENT 

The Community College Sy s tem was created for 
the purpose of. and is committed to delivering 
appropriate educational services to adult citizens. 
Effort s shall be made to ensure that facilities 
where classes are held provide appropriate envi 
ronmcnt s which are conducive to learning. — Con 
tinning education classes offered in private homes 
or private home ba se d bu s ines s e s s hall — be ap 
proved by the college president or his designee 
prior to the classes being offered. — Documentation 
of such approval shall be maintained at the college 
until relea s ed from all audits (sec Public Records 
Retention and Di s po s ition Schedule for Institutions 
in the Community College System). 

(a) Continuing education programs shall provide 
lifelong learning experiences offering planned 
instructional responses to identified needs of 
targeted audiences. Instructional objectives shall 
specify' the skills, knowledge and attitudes the 
learner should be able to apply upon satisfactorily 
completing the continuing education experience. 
Adequate educational facilities, instructional aids, 
and other instructional materials shall be provided 
to support continuing education courses. 

(b) Facilities where classes are held must pro- 
vide appropriate environments which are condu- 
cive to learning. Continuing education classes 
offered in special settings (such as private homes 
or private home-based businesses) other than 



generally accepted learning environments shall be 
approved by the college president or designee prior 
to the class being offered. Documentation of such 
approval shall be maintained at the college until 
released from all audits (REP: Public Records 
Retention & Disposition Schedule for colleges in 
the community college system). 

(c) Each college's local board of trustees must 
adopt a policy which requires the development and 
implementation of an internal audit plan. Each 
college is required to publish, maintain and utilize 
an internal audit plan. The college presidents shall 
periodically report to the board of trustees on the 
findings of the internal audit. The internal plan 
must be submitted to the department for compli- 
ance review. 

Statutory Authority G.S. 115D-1; 115D-5. 

SECTION .0400 - INDUSTRIAL SERVICES 

.0401 TRAINING FOR NEW AND 
EXPANDING INDUSTRY 

(a) The creation of more jobs and better paying 
jobs in North Carolina by promoting the expansion 
of existing industries and by attracting new Indus 
trios to the state was a major consideration in the 
original e s tablishment of the indu s trial education 
center s and later the Community College System. 
Th e ability of the educational system of the state to 
produce trained people to fill the new jobs created 
was and remains the prime factor in getting new 
industry to North Carolina. Customized training 
programs for new and expanding companies shall 
be provided to support the economic development 
of the state. TTie training programs for new and 
expanding industries shall be administered by the 
college, with consultation and assistance from the 
department's staff, in accordance with procedures 
approved by the State Board. 

(b) The State Board has developed and approved 
the — following — policy — with — respect — to — training 
manpower for individual manufacturing firms or 
corporations: 

{+) Legitimate training programs for a new 

or expanding industry that creates new 
jobs — wtH — be developed — and — funded, 
tailor made for each industry, to meet 
the immediate trained manpower needs 
when the plant, new or expanded, is 

ready to go into production. In the 

process of providing such a program. 
the plant management will be helped in 
the development of a long range train 
ing program, of its own. to meet tho s e 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1592 



PROPOSED RULES 



roplaeemont and retraining needs that 
industrs' should and can be prepared to 
do for It se lf. 



f^ 



State funds 



4=»e- 



*s — runas will — be established — in a 
separate budget to support the training 
for new and expanding industry'. — The 
new industry' budget will be u s ed to 
support only those legitimate training 
project s that ereate new jobs in new and 
e.xpanding industry'. 

0^ The Department of Community Collog 

es will work elo s ely with the institu 
tions in preparing training program s for 
new and expanding industry. 
The actual training for new or expand 



(4^ 



ing industries will be conducted by the 

in s titutions. 
(b) State funds are appropriated to the depart- 
ment in a separate line to support the training for 
new and expanding industry. These funds shall be 
used to support only those training projects that 
create new jobs in new and expanding companies. 
They shall be allocated to and expended by the 
college jn accordance with the appro\ed project 
plan and budget. 

Sturuton- Amhorit}- G.S. 1 15D-5. 

.0402 PROVISION OF IN-PLANT 
SKILL TRAINING 

(a) Chapter 115D of the General Statutes of 
North Carolina authorizes the in s titution college to 
conduct in-plant courses to assist manufacturing, 
seryice. and/or go\ernmental organizations with 
in-ser\'ice training of their employees. In-plant 
training is defined as an occupational extension 
course that meets the following conditions: 

(1) Training shall occur in the facilities or 
at the sites in which the organization 
normally operates. 

(2) Enrollment shall be limited to the em- 
ployees of the organization in which the 
training occurs; trainees may be 
newly-hired employees who need enlr>' 
level skills or existing employees who, 
due to documented changes in the job 
content, need up-grading or retraining. 

(3) Training shall be conducted at the 
employee's assigned work station dur- 
ing normal working hours. 

(4) Training shall be directly related to job 
skills. 

(b) In s titution s Colleges are encouraged to offer 
in-plant courses in those situations where the 
development of job skills is dependent on equip- 



ment or processes in the work environment which 
cannot be reasonably duplicated in an institutional 
a college setting. The purpose of an in-plant 
course is to teach the fundamental skills of a 
particular job. The achievement of production or 
performance standards established by the employer 
is not a goal of in-plant courses. The instruction 
provided shall not duplicate or supplant existing 
training or training for normal job turnover. 

(c) The community colleges may contract with 
a company to provide in-plant training to its 
current employees under one of the following 
conditions: 

(1) A college may contract with a company 
to provide the direct cost of replace- 
ment of an employee providing the 
actual training who is not hired by the 
company as a trainer, and who is re- 
leased from regular work responsibili- 
ties during the time for which contract- 
ed to provide instruction. Replacement 
cost is defined as actual costs which 
were expended by the company to 
replace on a temporan,' basis the con- 
tracted employee from normal duties 
while proN'iding instruction. In this 
situation the college may earn regular 
budget/FTE. 

(2) A college may contract with a company 
to provide indirect replacement cost. 
The cost, if this option is applied, will 
be the salary loss of production time to 
the company for the individual contract- 
ed to deliver the instruction. This 
indis'idual must not be a regular trainer 
or have instructional responsibilities as 
a part of the regular job requirement. 
In this situation the college may earn 
the actual cost of the contract by deter- 
mining, for the employee who js actual- 
iy doing the instruction, an hourly wage 
rate for the instructor's normal job 
times the actual hours of instruction. 



This will be the contract cost, and the 
college will be reimbursed this cost plus 
15 percent of the cost for deliver\' of 
in-plant instruction when contracted 
through a company. If the college 
provides the supplies and materials, 
these costs may be added to the instruc- 
tional cost as a part of the contract. 



Supplies and materials are not be in- 
cluded in the instructional cost plus 15 
percent calculation. Contracted instruc- 
tion applying this option may neither 



1593 



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PROPOSED RULES 



exceed 160 hours nor be provided on a 

repetitive basis. 
(d)-fe^ Content of an in-plant course shall be 
based on an analysis of the job for which training 
is offered. The job analysis shall designate each 
separate task within a job and assign a number of 
hours required to teach each separate task. The 
course outline and a fiscal plan for operating each 
course shall be approved by the board of trustees. 
If approval is not given, no budget/ FTE or con- 
tract reimbursement shall be reported for that 
course. 

f4)(e) An in-plant course shall not exceed may 
be offered up to 440 hours [except when applied as 
option noted in Subparagraph (c)(2) of this Rule 
which may not exceed 160 hours], in duration: no 
No employee shall be trained for more than 440 
hours nor enrolled — m — more — then — twe — in plant 
courses during a 12-month period. (The 12-month 
period will begin at the start of the initial training. 
The application of this provision will begin on or 
after the first day of FaU Quarter. 1992.) An 
in-plant course shall not be offered on a repetitive 
or recurring basis to the same employees within 
the same organization. An employee may not take 
a course more than twice. 

(1) An in plant course not exceeding 160 
hour s — ifl — duration — shall — net — require 
dopartmental — approval; — the — institution 
college shall s ubmit to the department 
only a report of each course and shall 
retain in its files records and documen 
tation substantiating each course in this 
category. The college shall submit to 
the department a course outline and 
other required documentation from the 
employer for all in-plant classes for 
review. 

(2) An in plant cour s e exceeding 160 hours 
in duration shall require departmental 
approval. — The in s titution s hall submit 
to th e department an application com 
plete — w+#i — course — outline — and — other 
required documentation from the em 
ploycr at least one week prior to the 
first class meeting. The college shall 
retain in its files records and documen- 
tation substantiating each course. 

(3) The department shall furnish to the 
institution college forms and procedures 
for reporting in-plant courses, of 160 
hour s or less and for applying for ap 
proval to operate courses of more than 
160 hour s . 



(4) A community college's FTE earnings 
shall not exceed a reasonable percent- 
age of the direct cost of the training. 

(5) Instruction provided deals with content 
and skills which prepare students for 
production work. Instruction which 
involves production only cannot be 
counted for FTE purposes. 

4e)(f) An instructor of an in-plant course, wheth- 
er an employee of the organization in which the 
course is offered or an employee of the sponsoring 
institution, college, shall not, during hours of 
instruction, be involved in any activity other than 
instruction. An instructor shall not engage in any 
administrative, supervisory, or operational func- 
tions of the organization in which a course is 
offered during those hours when he or she is 
partially or totally paid by the institution, college. 
An appropriate official of the organization in 
which the course is oifered shall agree in writing 
to these conditions. 

Statutory Authority G.S. 1 15D-5. 

.0403 INSTRUCTION TO CAPTIVE/ 
CO-OPTED GROUPS AND ON 
MILITARY BASES 

fa) Pursuant — t© — the — requirements — of G.S. 

115D 5(c). the State Board defines "captive" and 
"co opted" groups as meaning immured group s 
inclusive of the following: 

(4-) Group s in the custody of the Depart 

mcnt of Correction — (taught in these 
facilities); 

f3^ Clients of sheltered work s hops in s hel 

tcrod workshops; 

{?3 Resident s of re s t and nursing homes, 

alcoholic rehabilitation centers, mental 
retardation — center s — and — in patients of 
mental hospitals (taught in these facili 
ties); 
^ Military personnel taught on the base- 
Professional and support staff for the above agen 
cics arc not to be considered a s immured groups. 
(a) A college is required to obtain State Board 
approval prior to providing instruction to students 
who are clients or residents in a captive or co- 
opted setting. This includes inmates iji correction 
facilities and clients of sheltered workshops; 
residents of rest homes, nursing homes, alcoholic 
rehabilitation centers, and mental retardation 
centers; and in-patients in mental hospitals when 
the instruction is provided in their respective 
facility. 



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1594 



PROPOSED RULES 



(b) A college is required to obtain approval 
prior to pro\iding instruction for any course on a 
military base. 

icj-fb^ Classes for adult basic education, adult 
high school diploma, fm4 GED preparation, and 
compensatory education are given exempt from 
prior (blanket) approval fef — immured — groups. 
requirements of this Rule. 

aurod 



(^ 



-Mi — requests for in s truction of 



groups shall follow the procedure s of this Rule 
before state fund s are expended for in s truction: 

i-i^ A request shall have prior approval of 

the local board of tru s tee s ; 

i3-) A reque s t and s upportive information 

shall be submitted in a form and man 
ner determined by the State President, 
(d) The State Pre s ident will s ubmit the requests 
to the State Board for action. — Initial approval may 
be granted by the State President prior to State 
Board action. 

te-) — Reque s ts may be approved when it i s deter 
nnned — by the — State — Board that the — instruction 
proposed for the immured group is not a function 
expected normally of the requesting agency, the 
in s truction is vx'ithin the purpose of the community 
college system, and fund s are a\'ailablc. 

fft — Pro\ i s ion s of thi s Rule apply only to those 
groups defined in (a) of this Rule. 

(d) The request and supportive information to 
offer a course shall be submitted to the State Board 
in a form and manner determined by the System 
President. 

(e) Course approval for instruction to captive 
and co-opted groups or instruction on a military 
base may be approved v.hen it js determined by 
the State Board that the proposed instruction for 
the group is not a function normally expected of 
the agency or the military and the instruction is 
within the purpose of the community college 
system. 



Siatiaorx Authohn G.S. 115D-1: 1150-5. 

SECTION .0500 - ARTICUL.4TION: PUBLIC 

SCHOOL AND COMML^lTi 

COLLEGE SYSTEMS 

.0501 ARTICULATION 

(a) The State Board encourages formal and 
informal articulation effort s on a continuing basis 
betvwcn the s y s tem of elementary and s econdary 
education and the system of technical institutes and 
community colleges. The State Board of Commu- 
nity Colleges shall meet with the State Board of 
Education and the Board of Go\ernors of The 



University of North Carolina to discuss educational 
matters of mutual interest and to recommend to the 
General Assembly such policies as are appropriate 
to encourage the improvement of public education 
at every level in North Carolina. 

ih) — Articulation programs shall be designed to 
meet one or more of the following purposes: 

f+^ provide for articulation of subject mat 

tef between this secondary and 

post secondary institutions; 

f3^ promote innovation and coordination of 

both — secondary — and — post secondary 
institution s ; 

{%^ provide for articulation between second ' 

ary and post s econdary institutions and 
where — appropriate. — business. — health, 
agriculture. — public — service. — industry 
concerns. pri\'ate schools, and appoint 
e d or elected local officials; 

f+) develop in all teachers and other partic ' 

ipants an av^'arcncss of the opportunities 
for employment — irH — business. — health, 
agriculture, public service, and industry 
concerns; 

{&j proN'ide an opportunity for joint utiliza 

tion and sharing, where possible, of 
physical facilitie s , equipment and mate 
«ais — available — at the — secondary — and 
post secondary le\'els; 

ifi) provide for continuous study, cvalua 

tion and improxcmcnt of articulation 
efforts between both systems; and 

(t^ improve public relations at both the 

secondary and po s t s econdary Icx'el. 
(b) The State Board encourages formal and 
informal articulation efforts on a continuing basis 
between the educational systems. Articulation 
between the State educational systems should 
address programming, transferability, and other 
student-oriented issues which would result in better 
serving the educational needs of North Carolina. 



Where feasible, the joint utilization of physical 
facilities, equipment and materials should be 
considered. 

fe^ — Within resources as'ailable, the Department 
of Public Instruction and the Department of Com 
munity College s will support articulation efforts bv 
prox'iding consultant help, when requested, to local 
administrative units and to community college s and 
technical institutes. 



Stumor}- Authoriry- G.S. 115D-2.1: 115D-3: 115D-5. 

.0502 FLIVDING AiND OTHER 
PROCEDLHES 



7595 



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PROPOSED RULES 



^B) — For funding purposes only, the expenditure 
of available funds will be based on the number of 
teachers, principals, and supervisors in the public 
schools — m — the — in s titution' s s ervice — area, — new 

liable 



de s ignated a s ABE. 



9he\ 



Je s ignatcd a s ABb. a s s nown in the late s t available 
allotment information prepared by the Division of 
Teacher Allotment and General Control. 

ihj Articulation — programs — vv4H — be — financed 

where — po ss ible — by — approved — budget — transfers 

within the institution's budgets. Stipends and 

travel may be paid to participant s not on the public 
school payroll at the time the programs are con 
ducted. 

inded 



(c) The maximum amount that may be cxper 
where fund s are avjiilable for articulation programs 
will be two thousand dollar s ($2,000) or seven 
dollar s — ($7.00) per professional — public — school 
employee (as defined in (a) of thi s Rule) in th e 
in s titution' s ABE service area, whichever is larger. 
In many eases. — s atisfactory — program s — may — be 
conducted without tran s fer or special allocation of 
funds. — Funds in excess of the above amounts will 
require special State Board approval. 

(d) — In ca s es where the amount of funds per 
institution by budget transfer is limited, or for 
some other justifiable rea s on i s not equal to tv>'o 
thousand — dollars — ($2.(300) — asd — tbe — institution 
wi s he s to conduct an articulation — program, the 
difference may be allocated to the in s titution upon 
request by special allocation from state funds, 
subject to the availability of s uch funds. 

fe) — Prior to implementing a program, the presi 
dent will provide evidence to the State President of 
t^ie — Department — of Community — Colleges — that 
articulation efforts will be coordinated with local 
school officials. — A summary of the articulation 
program — conducted. — to — include — em — evaluation 
report, will be submitted at the end of the pro 
gram. 

(f) All programs will be conducted at communi 
ty colleges and technical institutes, unless there are 
justifiable reasons for holding the programs else 
where. 



Statutory Authority G. S. 1 15D-1; 1 15D-3: 1 15D-5. 

SECTION .0600 - VOCATIONAL 
CURRICULUM 

.0602 CURRICULUM INSTRUCTIONAL 
CONTRACT PROVISIONS 

(a) Each college is to assess its own need to 
provide instructional services by contracting with 
other public or private organizations or institu- 
tions. Any curriculum instructional program or 



course intended to be offered by contract must be 
submitted to the System President of the Commu 
nity College System for approval. This policy 
does not apply to contracts between a college and 
its individual instructors. 

(b) Any curriculum contract entered into by the 
local board of trustees of a college must meet the 
following general criteria: 

(1) A contract document in proper legal 
form is necessary in all cases and shall 
be drawn up by the college consistent 
with the requirements of the local board 
of trustees, the public or private organi- 
zations or institutions being contracted 
with and the State Board's criteria. 

(2) The contract shall be limited to and not 
exceed the fiscal year in which it be- 
gins. 

(3) The provisions for payment under 
contract shall not exceed usual and 
customary costs associated with the 
contracted instruction. 

(4) The contract shall provide that the 
college personnel shall have the right to 
supervise the educational program 
offered by the public or private organi- 
zations or institutions to the extent 
necessary to ensure the quality of the 
instructional program. 

(5) The contract shall provide that the 
college, the department and the State 
Auditor shall have access to the records 
of the contractor to the extent necessary 
to ascertain the accuracy of such re- 
cords and shall authorize the depart- 
ment to obtain such fiscal accounting 
reports as are necessary in carrying out 
the terms of the contract. 

(6) Curriculum courses taught under con- 
tract shall be limited to programs the 
college has been authorized to offer. 

(7) The contract shall stipulate that students 
taught under the terms of the contract 
shall pay the same fees charged other 
students in similar programs in the 
college, which fees shall be deposited 
in like manner as other fees. No tuition 
or fee charges shall be collected by the 
public or private organizations or insti- 
tutions from students taught under such 
contracts unless specified by the con- 
tract. 

(8) The contract must be signed by the 
chairman of the board of trustees, 
president of the college and a represen- 



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1596 



PROPOSED RULES 



tative of the public or private organiza- 
tions or institutions. 
(9) Approval Procedure. When approved 
by the local board of trustees and the 
public or private organizations or insti- 
tutions, the contract document shall be 
submitted to the System President who 
is authorized to approve the college's 
budget for the contracted instructional 
services if the requirements in Para- 
graphs (b). (c). (d). and {e) of this Rule 
have been met. 
(c) In addition, the The following provisions 
shall apply specifically to curriculum contracts 
with a proprietary or private non-profit institution 
or public agency. 



(1) 



(2) 



The proprietary or private non-profit 
institution with which the contract is 
made must be licensed as required by 
the General Statutes of North Carolina 
and must have maintained the licensure 
for a minimum of two years to offer the 
instruction desired. 

If federal funds are to be used to pay 
for instruction provided under the 
conditions of the contract, the propri- 
etary or private non-profit institution 
must meet the requirements of the 
private vocational training institution. 
^(3) The chief executive officer of the pro- 
prietary or private non-profit institu- 
tion, or his designated agent, must sign 
a certification statement that the pro- 
gram in question, facility, or contract 
for services to students will be open 
without regard to race, age, color, 
creed, sex, political affiliation, or hand- 
icapping conditions. 
{ej{4) Public or private colleges or universi- 
ties must be licensed as required by the 
General Statutes of North Carolina to 
offer the instruction desired if entering 
into a contract to provide instructional 
services with the board of trustees of a 
college. 
(d) Instructional curriculum contracts with local 
school administrative units must meet the follow- 
ing conditions: 

(1) Shall not supplant existing funding for 
public school positions; 
Must provide through the Cooperative 
Agreement Program (Huskins Bill) 
college-level classes which could not be 
otherwise provided. 



12} 



tf)(e) Unless otherwise specified, colleges shall 
earn reimbursement on the regular formula budget 
for student membership hours generated by in- 
struction under contract except that cosmetology 
instruction offered under contract shall be funded 
for instructional units at the occupational extension 
formula rate and for instructional support and 
administration at the curriculum formula rate. As 
per Paragraph (d) of this Rule, if a college con- 
tracts with a local school unit under the Coopera- 
tive Agreement Program (Huskins Bill), the col- 
lege would recoup the direct instructional cost 
contained in the contract and 15 percent for admin- 
istrative cost incurred. 

(g) Approval Procedure. When approved by the 
local board of trustees and the public or private 
organizations or institutions, the contract document 
shall be aubmittcd to the President of the Commu 
nity College System who is authorized to approve 
the oollogc's budget for th e contracted instructional 
services if the rcquircmonta in Paragraphs (b), (c), 
(d) and (e) of this Rule have been met. 

Statutory Authority G.S. 115D-1 through 115D-5: 
115D-18: 115D-20{6): P.L. 88-352; P.L. 98-524. 

.0603 RURAL RENAISSANCE 

CONSORTIUM INSTRUCTIONAL 
MODULES 

fa) — The Rural Ronaissanoc Consortium was 
formed by the State Board to provide services in 
staff development and educational module produc 



tion. 



ihj — The director shall be appointed by the 



Exccut 



Committee — of the — Consortium — aed 



we- 
approvcd by the State President. 

{ej — The Consortium may enter into a contract 
with the State Board to develop educational prod 
ucts and, with the approval of the State Board to 
contract with private firms for the s ale and distri 
bution of such materials in accordance with State 
and Federal laws. 

fd) — Proceeds from the sale of material s shall 
accrue to the State Board for its use subject to the 
approval of the Office of State Budget. 

fe) The Con s ortium s hall — malce available a 

biannual activities report to the State President. 

ff) — An annual report of the consortium activities 
shall be made to the State Board by the State 
President. 



Statutory Authority G.S. 115D-1 through 115D-5; 
115D-54. 



1597 



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November 2, 1992 



PROPOSED RULES 



lylotice is hereby given in accordance with G.S. 
1508-21. 2 that the North Carolina Department of 
Community Colleges intends to adopt rules cited as 
23 NCAC3A .0101 - .0114. .0201 - .0214. 

1 he proposed effective date of this action is July 
1. 1993. 

1 he public hearing will be conducted at 10:30 
a.m. on November 18, 1992 at the Auditorium of 
the Highway Building, 11 South Wilmington Street, 
Raleigh, N.C. 27601-1494. 

Ixeason for Proposed Action: To inform affected 
owners of proprietary schools licensed by the State 
Board of Community Colleges and the public of the 
requirements for obtaining licenses and operating 
such schools. 

Lyomment Procedures: Interested persons may 
present statements either orally or in writing at the 
public hearing, or in writing delivered or mailed, 
addressed to: Clay Tee Mines or Bill Cole, De- 
partment of Community Colleges. 200 West Jones 
Street, Raleigh, NC 27603. Written comments 
must be received by 5:00 p.m. on December 2, 
1992. 

CHAPTER 3 - MISCELLANEOUS 
PROGRAMS 

SUBCHAPTER 3A - PROPRIETARY 
SCHOOLS 

SECTION .0100 - BUSINESS, TRADE AND 
TECHNICAL SCHOOLS 

.0101 LICENSING SCHOOLS 

Application for an Original License: 

( 1 ) Any person or persons (partnerships, 
associations, or corporations) operating a 
proprietary business, trade or technical 
school with an enrollment of more than 
five persons in the state of North Caroli- 
na shall obtain a license from the North 
Carolina State Board of Community 
Colleges. 

(2) A preliminary application shall be sub- 
mitted setting forth the proposed location 
of the school, the qualifications of the 
director of the school, a description of 
the facilities available, courses to be 



offered, and financial resources available 
to equip and maintain the school. The 
State Board may request other state occu- 
pational licensing or approving bodies to 
a pprove the adequacy of programs, 
equipment, and personnel during the 
preliminary application phase. Upon 
approval of the preliminary application. 
a final application may be submitted. 
This application shall be verified and 
accompanied by the following: 

(a) A certified check or money order in the 
amount of seven hundred and fifty 
dollars ($750.00) made payable to the 
North Carolina State Treasurer: (Each 
license shall be an annual license which 
shall expire on the 30th day of June 
next following date of issuance.) 

(b) A copy of the school's catalogue or 
bulletin in published form certified as 
true and correct in content and policy 
by an authorized official of the school 
and shall include the following: 

(i) Identifying date, such as volume 
number and date of publication; 

(ii) Name of the institution and its gov- 
erning body, officials, and faculty; 

(iii) A calendar of the institution showing 
legal holidays, beginning and ending 
date of each quarter, term or semes- 
ter, and other important dates: 

(iv) Institution's policy and regulations 
relative to leave, absences, class cuts, 
makeup work, tardiness, and interrup- 
tions for unsatisfactory attendance; 

(v) Institution's policy and regulations on 
enrollment with respect to enrollment 
dates and specific entrance require- 
ments for each course; 

(vi) Institution's policy and regulations 
relative to standards of progress re- 
quired of the student by the institu- 
tion; (This policy shall define the 
grading system of the institution, the 
minimum grades considered satisfac- 
tory, conditions for interruption for 
unsatisfactory grades or progress and 
description of the probationary peri- 
od, if any, allowed by the institution, 
and conditions of re-entrance for 
those students dismissed for unsatis- 



factory progress. A statement will be 
made regarding progress records kept 
by the institution and furnished the 
student.) 



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1598 



PROPOSED RULES 



(vii) Institution's policy and regulations 
relating to student conduct and condi- 
tions for dismissal for unsatisfactory 
conduct; 

(viii) Detailed schedule for fees, charges 
for tuition, books, supplies, tools, 
student activities, laboratory fees, 
service charges, rentals, deposits, and 
all other charges; (Charges for these 
items may not be increased to off-set 
the cost of tuition.) 
Policy and regulations of the institu- 
tion relative lo the refund of the 
unused portion of tuition, fees, and 
other charges in the event the student 
does not enter the course or with- 



(ix) 



draws or is discontinued therefrom; 

(x) A description of the available space, 
facilities, and equipment; 

(xi) A course outline for each course for 
which approval is requested; 

(xii) Policy and regulations of the institu- 
tion relative to granting credit for 
previous educational training; 

(c) A financial statement showing capital 
in\'estment. assets and liabilities, and 
proposed operating budget; 

(d) A complete detail of ownership; (TTiis 
will show stock distribution if the 
school is a corporation, or partnership 
agreement if the school will be operated 
as a partnership.) 

(e) Information on all administrative and 
instructor personnel who will be active 
in the operation of the school, either in 
full- or part-time capacity; (This infor- 
mation will be submitted on forms 
provided for this purpose. ) 

(f) Enrollment application or student con- 
tract form; 

(g) School floor plan showing doors, win- 
dows, halls, and seating arrangement; 
also offices, rest rooms, and storage 
space; the size of each room and seat- 
ing capacitx' will be clearly marked for 
each classroom; lighting showing kind 
and intensity v\ill be indicated for each 
room; the type of heating and cooling 
system used for the space occupied 
shall be stated; 

(h) Photostatic copies of inspection reports 
or letters from proper officials to show 
that the building is safe and sanitary 
and meets all local city, county, munic- 



ipal, state, and federal regulations such 
as fire, building, and sanitation codes; 
fi) If building is not owned by the school, 

a photostatic copy of the lease held by 
the school for the space occupied; 
fi) Letter from the clerk of superior court 

of the county in which the school is 
located stating that a guaranty bond or 
guaranty bond alternative is on file, 
(i) Applicants unable to secure a guaran- 
ty bond may seek a waiver of the 
bond from the State Board of Com- 
munity Colleges and approval of one 
of the bond alternatives, 
(ii) Bond alternatives may be in the form 
of an assignment of a savings account 
or a certificate of deposit with a state 
or federal savings and loan associa- 
tion, a state bank, or a national bank 
which is licensed to do business in 
North Carolina and is insured by a 
federal depositors corporation. 
(3) A person or persons purchasing a propri- 
etary business, trade or technical school 
already operating as a licensed school 
shall comply with all of the requirements 
for securing an original license. A ii; 
cense is not transferable to a new owner. 



(4) 



t5j 



ial 



All application forms and other data shall 
be submitted in full. Such terms "previ- 
ously submitted" when referring to a 
former owner's file will not be accept- 
able. A separate license shall be required 
for each location of each school, or 
branch thereof. Classes conducted by the 
school in separate locations must be 
reported and approved prior to advertis- 
ing and commencement of classes. 
A temporary operating license, not to 
exceed 90 days, may be issued to a 
school upon its sale if tlie school held a 
valid license prior to the sale and rf 
evidence indicates that it is likely to 
qualify for a license after the sale. 
Changes In application information pre- 
sented for licensure or reiicensure relat- 
ing to mission, programs, location or 
stock distribution require prior approval 
and licensure amendment by the State 
Board. 
Program additions require curriculum 
reviews and program or course approv- 
als prior to initiation. A check or mon- 
ey order in the amount of one hundred 
dollars ($1(X).(X)) made payable t_o the 



1599 



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PROPOSED RULES 



North Carolina State Treasurer shall 
accompany each additional program 
approval request. 

(h) Single course additions or revisions 
may be individually approved when 
schools submit a request for license 
amendment. Course additions or revi- 
sions requiring extensive curriculum 
review, instructor evaluation, and 
equipment site assessment are subject to 
the curriculum review fee of one hun- 
dred dollars ($100.00). 

(c) School relocations require site visits 
and approvals prior to site relocations. 
A check or money order in the amount 
of two hundred dollars ($200.00) made 
payable to the North Carolina State 
Treasurer shall accompany each site 
relocation approval request. 



Statutory Authority 
U5D-91. 



.0102 



G.S. 115D-89; 115D-90; 



APPLICATION FOR RENEWAL OF 
LICENSE 

(a) Schools shall be licensed annually, and the 
licensure shall extend from July 1 through June 
30, inclusive. 



(b) Schools desiring the renewal of their license 
shall submit an application on or before June 1 of 
each year in the form and manner prescribed by 
the State Board . The application shall be accom- 
panied by the following; 

(1) All information required of schools 
applying for an original license that has 
not been previously submitted; 

(2) Copy of current catalogue containing all 
information required of schools apply- 
ing for original license; 

(3) Any supplementary information neces- 
sary to bring information on the school 
up to date. 

(c) A check in the amount of five hundred 
dollars ($500.00) to the North Carolina State 
Treasurer, shall be received on or before July J_^ 

Statutory Authority G.S. 115D-91; 115D-92. 

.0103 SCHOOL PLANT AND EQUIPMENT 

(a) The school plant, premises, and facilities 
must be adequate, safe, and sanitary and must be 
in compliance with the statutory provisions and the 
rules and regulations of all local ordinances per- 
taining to fire, health, safety , and sanitation. 



(b) The equipment, supplies, and instructional 
materials of the school must be satisfactory and 
adequate in type, quality, and amount, and must be 
suitable for satisfactory use in administering the 
course or courses of instruction. TTiese must also 
meet all requirements of statutory provisions and 
local ordinances, and rules and regulations adopted 
thereunder in regard to fire, health, safety, and 
sanitation. 

Statutory Authority G.S. 115D-89; 115D-90. 

.0104 ADMIMSTRATION 

(a) One person must be designated as the direc- 
tor of the school or branch thereof. The director 
must be qualified in accordance with the require- 
ments established by the State Board. 

(b) The director or administrator is defined to be 
a person directly responsible for the school pro- 
gram, the methods of instruction, the employment 
of teachers, the organization of classes, the mainte- 
nance of the school plant and the equipment, the 
advertising used, and the maintenance of proper 
administrative records and all other procedures 
related to the administration of the school or class. 

(c) The director or administrator must have the 
following qualifications: 

(1) Be a person of good moral character; 

(2) Be a graduate of an approved college or 
university; 

(3) Have experience as a teacher in one or 
more of the major subjects taught in the 
school which one is to administer; 

(4) Directors and administrators who pos- 
sess qualifications which are substan- 
tially equivalent to the requirements 
prescribed herein for directors may 
individually be approved by the North 
Carolina State Board of Community 
Colleges. 

Statutory Authority' G.S. 115D-87; 115D-90. 

.0105 ADVERTISING 

(a) A licensed school shall not advertise through 
any media that it offers courses that the school has 
not been licensed to offer. 

(b) Printed catalogues, bulletins, or prospectus 
information must be specific with respect to pre- 
requisite training required for admission to the 
school courses, the curricula, the contents of 
courses, graduation requirements, tuition and other 
fees, refunds and allowances for withdrawals and 
unavoidable or extended absences. 



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1600 



PROPOSED RULES 



(c) Schools shall not use any name, title, or 
other designation, by way of advertising or other- 
wise, that is misleading or decepti\ e as to charac- 
ter of the institution, or its influence in training 
emplo\ment for students. Schools shall be degree 
granting or accredited as a junior college of busi- 
ness in order to delete "business" from the name 
of the school. 



(d) Schools shall not use a photograph, cut. 
engra\ing. or illustration in catalogues, sales 
literature, or otherwise m such a manner as to 
con\'ev a false impression as to the size, impor- 
tance, or location of the school's equipment. 

(e) Schools shall not use endorsements, com- 



mendations, or recommendations by students m 
favor of a school unless it is with the consent of 
the writer and without any offer of financial 



compensation. Such material shall be kept on file 
by the school. 

(f) Schools shall publish tuition rates, payment 
method, and refund policy in their catalogues or 
on separate rate sheets and shall not dev'iate from 
these rates and policies. 

(g) Schools shall not make, cause, permit to be 
made, or publish any false, untrue, or deceptive 
statement or representation by wa\' of advertising 
or otherwise concerning other private business 
schools or their acti\ities in attempting to enroll 
students or concerning the character, nature, 
quality, value, or scope of any course of instruc- 
tion or education service offered or in any other 
material respect. 

fh) A school or class shall not solicit students to 
enroll by means of "blind" advertisements or 
ad\'ertisements in the "help wanted" or other 
employment columns of newspapers and publica- 
tions. 

(i) Schools shall not make false, untrue, or 
deceptive statements of representatives regarding 
the opportunities in any vocation or field of activi- 
ty as a result of the completion of any given 
course of instruction or educational service. 

Statutory Authority G.S. 1I5D-90. 

.0106 AD^^SSION REQUIREMENTS 

(a) The admission requirements must be pub- 
lished and administered as written. 



(bi The school shall require graduation from 
high school as a prerequisite to enrollment in a 
diploma or degree course offered by the school. 
Exceptions to this requirement may be made for 
students who hold a certificate of high school 
equivalency issued by the North Carolina Commu- 
nity College System or for non-high school gradu- 



ates who are 18 years of age or older who have 
demonstrated the ability to benefit as determined 
by accepted test instruments. The school shall not 
permit students of high school age to attend the 
school during the time that high schools are in 
regular session, except in individual cases ap- 
proved by the student's high school principal. The 
school shall maintain records in the student's file 
to show compliance with admission requirements. 
(c) The school may admit students to special 
courses or subjects offered by the school that the 
school deems the student can profit from the 
instruction offered. 

Statutory Authority G.S. 115D-90. 

.0107 RECORDS 

(a) The school shall maintain current, complete, 
and accurate records to show the following: 

(1) The student's educational and personal 
background, age, and other personal 
characteristics that will be helpful to 
prospective employers. 

(2) Progress and attendance including date 
entered, dates attended, subjects stud- 
ied, and time; this record shall be in a 
form which permits easy and accurate 
preparation of transcripts of educational 
records for purpose of transfer and 
placement, providing reports to govern- 
ment seryices or agencies, or for such 
other purposes as the needs of the 
student might require. Such transcripts 
shall be in the form readily understand- 
able by lay persons and educators alike. 
The grading system on such transcripts 
shall be fully explained on the transcript 
form. Subjects appearing on the tran- 
scripts shall be numbered or otherwise 
designated to indicate the exact subject 
matter covered. Skills and proficiency 
in subjects measured by words per 
minute shall be described fully by the 
type of test and other conditions of the 
test by which such skills and 
proficiencies were scored. 
All monies owed and paid by each 
student. 



13) 



(b) Records of students shall be open for inspec- 
tion by properly authorized officials of the State 
Board. 

(c) Financial records of the school shall be open 
for inspection by properly authorized officials of 
the State Board when information is furnished the 



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PROPOSED RULES 



Board of its authorized officials which tends to 
show the financial status of the school is unstable. 

Statutory Authority G.S. 115D-90. 

.0108 INSTRUCTIONAL PROGRAM 

(a) The school shall limit its offering in diploma 
and degree courses and special subjects to the 
courses and subjects for which it has been licensed 
to offer. At the beginning of each quarter, each 
school shall post the schedule of subjects begin 
offered during the quarter. This schedule will 
show the time and teacher for each subject and 
designate the room in which the subject will be 
taught. Each student shall be given a written 
schedule of classes at the beginning of each quarter 
to show the student's individual schedule. 

(b) Schools shall not publish rn their catalogues 
courses which they have not been licensed to offer. 
When a school is licensed to offer a course and 
enrolls students in the course, the school shall 
maintain sufficient and qualified faculty to teach all 
subjects required for completing the course during 
the time stipulated in the school's bulletin as the 
required time to complete the course and shall 
schedule classes so that the students will be able to 
receive instruction in all subjects for the number of 
instructional hours as advertised in the school's 
bulletin under which the students enrolled. When 
a school previously licensed to offer a course fails 
to maintain the qualifications for continuing the 
course, the course shall be removed from the 
catalogue or stamped "not offered . " 

(c) The number of curricula offered by a school 
shall be realistic in relationship to faculty and 
student enrollment. As a general rule, the number 
of curricula offered shall not exceed the number of 
faculty employed on a full-time basis. 

(d) The school shall arrange its calendar one 
calendar year in advance and give full information 
to prospective and enrolled students about holi- 
days: beginning and ending dates of each quarter, 
term, or semester; and other important dates . 

(e) Schools may measure instruction on a clock- 
hour or credit-hour basis. The catalogue shall 
provide a clear definition of the method used. The 
school catalogue must show the number of clock 
hours or credit hours for each subject offered and 
the minimum clock hours or credit hours a student 
must carry for full-time enrollment. Courses 
offered on a credit-hour basis must show class 
hours, laboratory hours, and credit hours. 

(f) Student teacher ratio shall not exceed 30 to 
1. 



(g) Class period shall permit a minimum of 50 
minutes net instruction. 

(h) Diplomas and degrees shall be issued only 
upon completion of a standard diploma or degree 
course. 

(i) Students enrolled diploma or degree pro- 
grams shall not be enrolled except at the beginning 
of each quarter or term. 

Statutory Authority G.S. 115D-90. 

,0109 INSTRUCTOR PERSONNEL 

(a) An application for approval to teach in a 
licensed proprietary business, trade, or technical 
school must be made on forms provided for this 
purpose. Such application must be filed immedi- 
ately when the teacher commences teaching in a 
proprietary business, trade, or technical school. 

(b) A teacher must be found to be qualified by 
education and experience background and must 
meet the following qualifications as minimum 
requirements: 

(1) Be a person of good moral character; 

(2) Be at least 21 years of age; 

(3) Be a graduate of a standard college or 
university and hold a baccalaureate 
degree or meet the requirements of 
other occupational licensing or approval 
bodies requested to approve instructor 
adequacy. Exceptions may be made on 
a case by case basis requiring prior 
approval by the State Board, acting by 
and through the System President. 

Statutory Authority G.S. 115D-90. 

.0110 FINANCIAL STABILITY 

(a) The school shall have sufficient finances to 
establish and carry out a satisfactory program of 
education on a continuing basis. 

(b) The school shall maintain a satisfactory 
credit rating. 

Statutory Authority G.S. 115D-90. 

.0111 ETHICS 

(a) Schools must not offer premiums or special 
inducement to prospective students or enroUees. 
Scholarships may be offered provided terms of 
scholarship are published and approved by the 
State Board of Community Colleges. 

(b) Failure to maintain tuition rates as published 
is grounds for suspension or revocation of tlie 
license of a school. 



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1602 



PROPOSED RULES 



(c) No officer or representative of the school 
shall solicit any student to leave any school ]n 
which enrolled or in attendance. 

(d) A school representative thereof must not 
guarantee positions or employment to prospective 
students. 

Statutory Authority G.S. 115D-90: U5D-93. 

.0112 REVOKING A LICENSE 

The license of a proprietary business, trade, or 
technical school may be revoked when it js found 
that the school has failed to comply with the 
requirements of the law and the rules and regula- 
tions adopted by the State Board. A school shall 
be notified by registered mail when it is believed 
to be in violation of the law or the rules and 
regulations made pursuant to the law and such 
notice shall be addressed to the director of the 
school at the address of the school as shown by the 
records of the State Board. An opportunity to be 
heard shall be provided upon written request by 
the school or any owner or official thereof within 



15 days of the mailing of said registered letter, and 
said request shall be addressed to the State Board 
of Community Colleges. Raleigh. North Carolina. 
If it is found and determined after a hearing that 
the school is in violation of the law or the rules 
and regulations of tlie State Board and it is the 
decision of the State Board that the license shall be 
revoked, a written notice of this action shall be 
mailed to the director of the school by registered 
mail and said revocation shall be effective upon 
the date of final action of the State Board. 

Statutory Authority G.S. 115D-93. 

.0113 AMENDING REGULATIONS 

The State Board reserves the right to amend 
these Rules from time to time in accordance with 
the requirements of the Administrative Procedures 
Act. 

Statutory- Authority G.S. 115D-89. 

.0114 BUSINESS SCHOOL; SPECIFIC 
REGULATIONS 

(a) Associate in Applied Science Degree. Note: 
This degree may be awarded upon licensure by the 
Board of Goyemors of the University of North 
Carolina. 

(b) Curricula requirements: 

(1) Accounting zz 108 credit hours or 
clock-hour equi\'alent: 



(2) Advanced secretarial — 54 credit hours 
or clock-hour equivalent; 

(3) Airline secretarial zi 54 credit hours or 
clock-hour equivalent; 

(4) Automated accounting 21 12. credit 
hours or clock-hour equivalent; 

(5) Business administration - 108 credit 
hours or clock-hour equivalent; 

(6) Electronic data processing — 54 credit 
hours or clock-hour equivalent; 

(7) Executive secretarial ;; 90 credit hours 
or clock-hour equivalent; 

£8) Fashion merchandising ;; 54 credit 
hours or clock-hour equivalent; 

(9) General business zz 54 credit hours or 
clock-hour equivalent; 

(10) Junior accounting — 12 credit hours or 
clock-hour equivalent; 

(11) Legal secretarial — 90 credit hours or 
clock-hour equivalent; 

(12) Medical secretarial -- 90 credit hours or 
clock-hour equivalent; 

(13) Professional accounting — 108 credit 
hours or clock-hour equivalent; 

(14) Professional secretarial — 108 credit 
hours or clock-hour equivalent; 

(15) Secretarial ^z 12. credit hours or clock- 
hour equivalent; 

(16) Stenographic 21 54 credit hours or 
clock-hour equivalent; 

(17) Transportation management — 108 
credit hours or clock-hour equivalent. 

(c) Other courses may be individually approved 
as special courses when schools desiring to offer 
other courses submit a formal application for 
approval of such courses and are found to have 
met the requirements for offering the courses. 

(d) Interim acceptance of the formal supplemen- 
tary a pplication for other courses may be granted 
at the discretion of the System President when a 
certified statement of intent to furnish qualified 
instructional personnel and necessary instructional 
equipment upon the commencing of the initial 
instruction and/or "hands-on" training is furnished 
by the applying institution, which institution shall 
have been duly licensed and in continuous opera- 
tion for five or more years. The certified state- 
ment of intent shall also include a provision to 
return all monies paid, including any confirming 
or initial application fee paid by prospective 
enroUees in the event the course does not material- 
ize upon the advertised beginning date. 

Statutory- Authority- G.S. 115D-90. 



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PROPOSED RULES 



SECTION .0200 - CORRESPONDENCE 
SCHOOLS 

.0201 LICENSING PROPRIETARY 

CORRESPONDENCE SCHOOLS 

(a) Basic Information Concerning Licensing 
Proprietary Correspondence Schools. 

(1) After July L, 1959, no correspondence 
school located in North Carolina shall 
solicit students or collect fees until a 
license has been granted by the State 
Board. 

(2) The receipt of a license is assurance to 
the officials of a correspondence school 
and to the students that the school 
meets the standards of the State Board 
and that it has the legal right to operate. 

(3) The issuing of' a license to a correspon- 
dence school does not accredit the 
courses offered as valid for transfer to 
any other school or college in North 
Carolina. 



(41 



(5) 



16} 



17] 



18} 



19} 



An application for a license shall be 
filed with the State Board on a form 
prescribed by the State Board. Such 
forms will be forwarded on request. 
The State Board may request that other 
state occupational licensing or approv- 
ing bodies approve the adequacy of 
programs, equipment, and personnel 
during the preliminary application 
phase. 

A correspondence school located in 
North Carolina when approved may in 
its advertising use the following state- 
ment: "Licensed by the North Carolina 
State Board of Community Colleges." 
The fee for the initial issue of a license 
is seven hundred and fifty dollars 
($750.00) made payable to tlie North 
Carolina State Treasurer \n the form of 
a check or a money order. 
A license is renewable annually upon 
payment of a fee of five hundred dol- 
lars ($500.00). Fees must be made 
payable to tlie North Carolina State 
Treasurer. 

Any license may be revoked for a good 
cause after a hearing. 
The school must post a guaranty bond 
in tlie maximum amount of prepaid 
tuition or at least ten thousand dollars 
($10,000) or a guaranty bond alterna- 
tive in ttie manner and form prescribed. 



in conformity with North Carolina 
General Statutes, Chapter 115D-95. 

(A) Applicants unable to secure a guaran- 
ty bond may seek a waiver of the 
bond from the State Board and ap- 
proval of one of the bond alternatives. 

(B) Bond alternatives may be in the form 
of an assigned savings account or a 
certificate of deposit with a state or 
federal savings and loan association. 
a state bank, or a national bank which 
is licensed to do business rn North 
Carolina and is insured by a federal 
depositors corporation. 

(1 1) A person or persons purchasing a cor- 
respondence school already operating as 
a licensed school shall comply with all 
of tlie requirements for securing an 
original license. A license is not trans- 
ferable to a new owner. All application 
forms and other data will Ije submitted 
in full. Such terms "previously submit- 
ted" when referring to a former 
owner's file will not be acceptable. 

(12) A temporary operating license, not to 
exceed 90 days, may be issued to a 
school upon its sale if the school held a 
valid license prior to the sale and if 
evidence indicates that it is likely to 
qualify for a license after the sale . 

Statutory Authority G.S. 1150-87; 115D-91; 
U5D-95; 115D-96. 



.0202 STANDARDS 

(a) Name of School. 



The name of tlie school 
shall be descriptive of fts function or functions. 
Any word or words which suggest an official 
relation with a municipality or with the state shall 
not be used. Any change in the name of an 
approved school shall be registered with the State 
Board. 

(b) Location of the School. A school is ap- 
proved for a specific location. Any change in the 
location of the school shall have the prior approval 
of the State Board as to adequacy of facilities. 

(c) Administration of tlie School. 

(1) Each correspondence school shall have 
an executive head. The executive head 
of the school shall present evidence that 
one has the qualifications and the expe- 
rience for competent and ethical admin- 
istration of a correspondence school. 

(2) The executive head of a correspondence 
school shall have the administrative 



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1604 



PROPOSED RULES 



assistance necessary for adequately 
manning the school and effectively 
coordinating the work of the teachers. 

(3) Each private correspondence school 
located in North Carolina shall furnish 
such information and reports from time 
to time as the State Board shall deem 
necessary and proper and m the manner 
and on forms prescribed by the State 
Board. Failure to furnish any such 
information or report or to conform in 
every particular to standards prescribed 
for such proprietary correspondence 
school shall be good and sufficient 
reason for the refusal or a license for 
such proprietai"y correspondence school 
or for the revocation of a license previ- 
ously granted. 

(4) Changes in application information 
presented for licensure or relicensure 
relating to mission, program, location, 
or stock distribution require prior ap- 
proval and amendment to licensure by 
the State Board. 

(5) Program additions require curriculum 
reviews and approvals prior to initia- 
tion. A check or money order in the 
amount of one hundred dollars 
($100.00) made payable to the North 
Carolina State Treasurer shall accompa- 
ny each additional program approval 
request. 

(6) Single course additions or revisions 
may be individually approved when 
schools submit a request for license 
amendment. Course additions or revi- 
sions requiring extensive curriculum 
review and instructor, equipment, 
and/or site assessment are subject to the 
curriculum review fee of one hundred 
dollars ($100.00). 

(7) School relocations require site visits 
and approvals prior to site relocations. 
A check or money order jn the amount 
of two hundred dollars ($200.00) made 
payable to the North Carolina State 
Treasurer shall accompany each site 
relocation approval request. 

Statuton Aurhorin- G.S. 115D-87; 1150-89: 
1150-90: 1150-91: 1150-92: 1150-93: 1150-96. 

.0203 ORGANIZATION AND NATURE OF 
CORRESPONDENCE COURSES 



Each course of instruction offered shall consist of 
the following: 

(1) A preliminary lesson or set of instruc- 
tions on "how to study" by the home- 
study method or adequate instruction on 
how to study each lesson assignment. 

£2} Textual or lesson materials which are: 

(a) Adequate in that they cover the subject 
as fully and as thoroughly as an- 
nounced; 

(b) Accurate in that they are well authenti- 
cated; 

(c) Current in that they represent reliable 
modern information on the subject; 

(d) Presented in a simple, clear, interest- 
ing, and logical manner so that the 
students can grasp the important points 
readily: 

(e) Illustrated with photographs, cuts, and 
drawings which clarify the explanations 
and not simply adorn the text; 

(f) Printed in such a manner as to contrib- 
ute to ease of study. 

£3) Instructional service on each lesson or 
unit assignment consisting of: 

(a) A series of examination questions or 
problem assignments which thoroughly 
stress the important phases of the sub- 
ject presented and which require a 
demonstration of the student's ability or 
skill in applying the information se- 
cured; 

(b) An individualized correctional service 
pointing out the errors, directing the 
student to sources of correct informa- 
tion, as well as supplying additional 
explanations and supplementary instruc- 
tional material when necessary. 

Statutory Authority G.S. U5D-89: 1150-90. 

.0204 INSTRUCTION 

A supervisor of correspondence instruction is a 
person responsible for grading the papers sent to 
the school by the students and for guiding the 
students in their study. 

( 1) Each approved correspondence school m 
North Carolina shall maintain an ade- 
quate and competent instructional staff. 

(2) The individualized correctional service 
shall be assigned to a supervisor or su- 
pervisors of correspondence instruction 
who shall have as a minimum the follow- 
ing educational preparation and experi- 
ence: 



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PROPOSED RULES 



(a) A high school education and a combina- 
tion of at least six years of higher 
education, teaching, and experience 
closely related to the subjects to be 
taught. This standard shall not operate 
to prevent the employment of compe- 
tent assistants without these qualifica- 
tions to grade papers under direction 
of an approved supervisor of correspon- 
dence instruction; and 
(h) A knowledge of educational psychology 
and methods as those subjects apply to 
the courses to be taught. 
(3) Each supervisor of correspondence in- 
struction shall be approved by the State 
Board. An approved correspondence 
school located in North Carolina may 
employ for a period not to exceed 60 
days a supervisor of correspondence 
instruction who has not yet obtained 
approval by the State Board. Any super- 
visor of correspondence instruction so 
employed shall obtain approval by the 
State Board for the particular assignments 
concerned within 60 days. In applying 
for approval of supervisors, correspon- 
dence schools shall use a form provided 
by the State Board to show for each 
supervisor concerned the following: 

(a) Educational background and attain- 
ments; 

(b) Work related to the courses concerned; 

(c) Three references who are qualified to 
judge the supervisor concerned. 

Statutory Authority G.S. 115D-90. 

.0205 FINANCIAL STABILITY 

Each correspondence school located jn North 
Carolina shall annually demonstrate to the satisfac- 
tion of the State Board that it has financial resourc- 
es sufficient to carry out the program of instruction 
submitted for approval. Each school shall main- 
tain detailed records. These records shall be 
subject to inspection by the State Board or its 
representatives. 

Statutory Authority: G.S. 115D-90. 

.0206 THE OFFICIAL BULLETIN OR 
CATALOGUE 

Each correspondence school located m North 
Carolina shall from time to time issue a printed 
bulletin which shall clearly indicate that it is an 
institution offering courses by correspondence. Its 



statements shall set forth the obligations of both 
the school and the students. The bulletin shall 
show the following: 
(I) The name and location of the school; 

The name of the executive head of the 

school; 



£2) 
13] 



A description of the lessons and the 
courses offered; Upon approval of the 
State Board, this standard may be met by 
publishing a description of the courses 
offered as a bulletin separate from the 
catalogue. 

(4) The fees and tuition charges; A corre- 
spondence school may meet this standard 
by publishing separately its Hst of fees 
and charges provided an up-to-date list of 
such fees and charges is kept filed with 
the State Board. 

(5) Requirements for graduation; 

(6) The maximum time allowed for complet- 
ing each course. 

Statutory Authority G.S. 115D-90. 

.0207 RESPONSIBILITY FOR PERSONNEL 
AND AGENTS 

Each school shall be accountable for the acts of 
its licensed solicitors and filed representatives as 
these acts affect the rights of students or prospec- 
tive students. Each proprietary correspondence 
school located jn North Carolina shall give its 
sales representatives adequate preliminary training 
and exercise careful supervision to guard against 
any misrepresentation to prospective students and 
to prevent the enrollment of pupils who lack 
qualifications for probable success in completing 
the course concerned. 

Statutory Authority G.S. 115D-90. 

.0208 CONTRACT WITH STUDENT 

The contract to be approved shall enumerate the 
following: 
(1) The total cost to the student; 

The initial payment at the time of regis- 
tration; 



(21 
£3) 



TTie amounts of subsequent payments and 
a statement specifying when the payments 
are due; 

(4) A list of the books, supplies, and equip- 
ment, if any, to be furnished by the 
correspondence school; 

(5) A list of the books, supplies, and equip- 
ment, if any, which the student must 



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1606 



PROPOSED RULES 



i6j 



purchase in addition to those provided by 

the correspondence school; 

All other charges, if any, which the 

school may make such as fees for a 

diploma or for graduation; 

The terms of settlement for the student 

who desires to discontinue his enrollment 

and withdraw from the school; 



The terms of settlement for the student 
who is dropped by the school; these 
terms must be found to be satisfactory by 
the State Board; 

The particulars concerning instruction 
during completion periods in schools, 
shops, or laboratories provided such 
instruction is offered. 



Statutory Authority G.S. 1150-90. 

.0209 RESIDENT TRAINING 

Resident training in shops, schools, or laborato- 
ries may be offered by correspondence schools 
located in North Carolina provided the shop, 
school, or laboratory concerned is approved by the 
State Board as adequate for the courses offered. If 
a correspondence school located [n North Carolina 
advertises as a part of a course a completion 
period in a school, shop, or laboratory, then the 
contract shall specify: 

(1 ) The basis for qualifying as a student for 
admission to the shop, laboratory, or 
school for the completion period con- 
cerned; 

(2) The location of such shop, laboratory, or 
school; 

(3) The schedule of periods of instruction in 
such shop, laboratory, or school; 

(4) The number of days of instruction to 
which the qualified student js entitled; 

(5| A description of the facilities in the shop, 
laboratory, or school concerned; 

(6) The amount of additional tuition re- 
quired, if any, for attendance at tlie shop, 
laboratory, or school used for the com- 
pletion period; 

(7) The student's responsibility for paying 
the cost of transportation to and from the 
shop, laboratory, or school where the 
completion period is scheduled; 

(8) The student's responsibility for paying 
the cost of room and board while in 
attendance during the completion period; 

(9) A Mst of books, supplies, and tools, if 
any, which will be furnished by the 
school for use by the student while in 



attendance during the completion period 
and the rental cost, if any, for the use of 
such books, tools, and supplies; 
(10) A list of any additional tools, equipment, 
work, clothing, books, or other items 
which must be purchased by the student 
for use during the completion period. 

Statutory Authority G.S. 1150-90. 

.0210 STANDARDS FOR ENROLLMENT 

Each correspondence s chool located in North 
Carolina shall either: 

(1) Establish and print standards of educa- 
tional achievement which students shall 
attain before enrolling for each course 
offered; or 

(2) Begin each course with simple basic 
reading and illustrations which lead grad- 
ually to the more advanced lessons. 

Statutory Authority G.S. 1150-90. 

.0211 RECORDS 

A summary of the student's educational achieve- 
ment shall be recorded on a form planned for that 
purpose. These records shall be retained by the 
school for a period of at least 20 years. 

Statutory Authority G.S. 1150-20. 

.0212 UNFAIR PRACTICES 

Each correspondence school to which is awarded 
a North Carolina license shall comply with the 
procedures and practices enumerated in "Guides 
for Private Vocational and Home Study Schools," 
16 CFR part 254 approved by the Federal Trade 
Commission. May 16. 1972. and as amended from 
time to time. 

Statutory Authority G.S. 1150-90. 

.0213 REVOKING A LICENSE 

The license of a correspondence school located in 
North Carolina may be revoked if the State Board, 
after a hearing, finds and determines: 

That the school concerned has failed to 



ill 



(2) 



observe any of the guides set forth in the 
"Guides for Private Vocational and Home 
Study Schools." 16 CFR part 254 ap- 
proved by the Federal Trade Commis- 
sion. May 16. 1972. or lias violated any 
official amendments to these rules; 
That the school concerned has not com- 
plied with the requirements of tlie North 



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PROPOSED RULES 



Carolina law or the standards which are 
ofFicially approved by the State Board of 
Community Colleges for North Carolina 
correspondence schools; a school shall be 
notified by registered mail when k is 
believed to be in violation of the law or 
the rules and regulations made pursuant 
to the law and such notice shall be ad- 
dressed to the director of the school at 
the address of the school as shown by the 
records of the State Board. An opportu- 
nity to be heard shall be provided upon 
written request by the school or any 
owner or official thereof made within 15 
days of the mailing of said registered 
letter, and said request shall be addressed 
to the State Board of Community Colleg- 
es. Raleigh. North Carolina. if ll is 
found and determined after a hearing that 
the school is in violation of the law or 
the rules and regulations of the State 
Board and it is the decision of the State 
Board that the license shall be revoked, a 
written notice of this action shall be 
mailed to the director of the school by 
registered mail and said revocation shall 
be effective upon the date of final action 
for the State Board. 

Statuton' Authority G.S. 115D-93. 

.0214 APPLICATION FOR RENEWAL OF 
LICENSE 

(a) Schools shall be licensed annually, and the 
licensure shall extend from July \ through June 
30. inclusive. 

(b) Schools desiring the renewal of their license 
will submit an application on or before June f each 
year in the form and manner prescribed by the 
State Board. The application shall be accompanied 
by the necessary data to bring the information on 
the school up to date. 

(c) A check in the amount of five hundred 
dollars ($500.00) made payable to the North 
Carolina State Treasurer shall be submitted on or 
before July J^ 

Statutory Authority G.S. 115D-91; I15D-92. 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1608 



RRC OBJECTIONS 



1 he Rules Review Commission (RRC) objected to the following rules in accordance with G.S. 
143B-30.2(c). State agencies are required to respond to RRC as provided in G.S. 143B-30.2(d). 



ADMINISTRATION 

Motor Fleet Management Division 

1 NCAC 38 .0205 - Accident Reporting 

Agenc}- Revised Rule 

AGRICLXTURE 

Structural Pest Control Division 

2 NCAC 34 .0406 - Spill Control 

Agency Responded 

Agency Revised Rule 
2 NCAC 34 .0603 - Waivers 

Agency Responded 

Agency Revised Rule 
2 NCAC 34 .0902 - Financial Responsibility 

Agency Responded 

Agency Revised Rule 

ECONO\nC AND COMMUNITl DEVELOPMENT 



RRC Objection 
Obj. Removed 



RRC Objection 
No Action 
Obj. Removed 
RRC Objection 
No Action 
Obj. Removed 
RRC Objection 
No Action 
Obj. Removed 



09/17/92 
10/15/92 



07/16/92 
08/20/92 
10/15/92 
07 n 6/92 
08/20/92 
10/15/92 
07/16/92 
08/20/92 
10/15/92 



Community Assistance 

4 NCAC 19S .0101 - Overview and Purpose 
4 NCAC 19S .0102 - Definition 
4 NCAC 19S .0103 - Waiver 
4 NCAC 19S .0202 - Prohibited Costs 
4 NCAC 19S .0401 - Distribution of Funds 
4 NCAC 19S .1101 - Grant Agreement 
Agency Revised Rule 

ENVIRONIVIENT. HEALTH. AND NATLTIAL RESOLTICES 

Departmental Rules 

15.4 NCAC IJ .0204 - Loans from Emergency Revolving Loan Accounts 

15A NCAC IJ .0302 - General Provisions 

15A NCAC IJ .0701 - Public Necessity: Health: Safety and Welfare 

Environmental Management 

15A NCAC 2H .0801 - Purpose 

Agenc}' Revised Rule 
15A NCAC 2H .0803 - Definitions 

Agenc}' Revised Rule 
15A NCAC 2H .0805 - Certification and Renewal of Certification 



RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 
Obj. Removed 



10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 



RRC Objection 06/18/92 
RRC Objection 06/18/92 
RRC Objection 06/18/92 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 



10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 



1609 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



RRC OBJECTIONS 



Agency Revised Rule 
J5A NCAC 2L .0107 - Compliance Boundary 

Agency Revised Rule 
15A NCAC 20 .0302 - Self Insurance 

Wildlife Resources and Water Safety 

15A NCAC 101 .0001 - Definitions 
HUMAN RESOURCES 



RRC Objection 10/15/92 

RRC Objection 10/15/92 

Obj. Removed 10/15/92 

RRC Objection 06/18/92 



RRC Objection 10/15/92 



Facility Services 

10 NCAC 3 R .3001 - Certificate of Need Review Categories 
Agency Revised Rule 

Individual and Family Support 

10 NCAC 42C .3601 - Administrative Penalty Determination Process 

Agency Revised Rule 
10 NCAC 42T . 0001 - Definitions 
10 NCAC 42T .0006 - Service Delivery 

Agency Revised Rule 

Mental Health: General 

10 NCAC 14C .1115 - Funding Group Homes for Mentally Retarded Adults 

Agency Revised Rule 
10 NCAC 14K .0216 - Waiver of Licensure Rules 

Agency Revised Rule 
10 NCAC 14T.0101 - Scope 

Agency Revised Rule 
10 NCAC 14T .0103 - Advance Care Directives 

Agency Revised Rule 

Mental Health: Other Programs 

10 NCAC 18D .0117 - Purpose and Scope 
Agency Revised Rule 

INDEPENDENT AGENCIES 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 
RRC Objection 
RRC Objection 
RRC Objection 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



10/15/92 
10/15/92 



10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 



08/20/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 



10/15/92 
10/15/92 



N.C. Housing Finance Agency 

24 NCAC IM .0202 - Eligibility 

24 NCAC IM .0204 - Selection Procedures 

24 NCAC IM .0205 - Administration 

24 NCAC IM .0206 - Program Fees 

24 NCAC IM .0301 - Goal and Objectives 

24 NCAC IM .0302 - Eligibility Requirements 

24 NCAC IM .0303 - Tlireshold Review Criteria 

24 NCA C IM . 0306 - Funding Commitment 

24 NCAC IM .0401 - Goals and Objectives 

24 NCAC IM .0402 - Eligibility Requirements 

24 NCAC IM .0403 - Threshold Review Criteria 



RRC 
RRC 
RRC 
RRC 
RRC 
RRC 
RRC 
RRC 
RRC 
RRC 
RRC 



Objection 
Objection 
Objection 
Objection 
Objection 
Objection 
Objection 
Objection 
Objection 
Objection 
Objection 



10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1610 



RRC OBJECTIONS 



24 NCAC IM .0404 - Ranking Criteria 

24 NCAC IM .0405 - Agency Board Approval 

24 NCAC lO .0101 - Purpose 

24 NCAC lO .0102 - Eligibility 

24 NCAC lO .0201 - Application Procedures 

24 NCAC lO .0202 - Selection Procedures 

24 NCAC lO .0203 - Administration 

INSURANCE 

Multiple Employer Welfare Arrangements 

// NCAC 18 .0019 - Description of Forms 
Seniors' Health Insurance Information Program 

11 NCAC 17 .0005 - SHIIP Inquiries to Insurers and Agents 
JUSTICE 

General Statutes Commission 

12 NCAC 8 .0506 - Declaratory Rulings 
LABOR 

Occupational Safety and Health Act 

13 NCAC 7C .0108 - Building Code 

Rule Returned to Agency 
Agcmy Filed Rule with OAH 
13 NCAC 7C .0109 - Fire Prevention Code 
Rule Returned to Agency 
Agency Filed Rule with OAH 

LICENSING BOARDS AND COMMISSIONS 

Professional Engineers and Land Surveyors 

21 NCAC 56 .0501 - Requirement for Licensing 

Agency Revised Rule 
21 NCAC 56 .0502 - Application Procedure: Individual 

Agency Revised Rule 
21 NCAC 56 .0701 - Rules of Professional Conduct 

Agency Revised Rule 
21 NCAC 56 .1603 - Classification of Surveys 

Agency Revised Rule 
21 NCAC 56 . 1604 - Mapping Requirements 

Agency Revised Rule 
21 NCAC 56 . 1605 - Classification of Topographic Surveys 

Agency Revised Rule 

REVENUE 

Individual Income, Iidieritance and Gift Tax Division 



RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 



10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 



RRC Objection 06/18/92 



RRC Objection 06/18/92 



RRC Objection 10/15/92 



RRC Objection 



Ejf. 
RRC Objection 



09/1 7/92 
10/15/92 
10/22/92 
09/17/92 
10/15/92 
Eff. 10/22/92 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



10/15/92 
10/15/92 
10/15/92 
W/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 
10/15/92 



1611 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



RRC OBJECTIONS 



17 NCAC 3B 

17 NCAC 3B 



0401 
0402 



Penalties 
Interest 



RRC Objection 
RRC Objection 



08/20/92 
08/20/92 



Individual Income Tax Division 

17 NCAC 6B .0107 - Extensions 

17 NCAC 6B .0115 - Additions to Federal Taxable Income 

17 NCAC 6B .0116 - Deductions from Federal Taxable Income 

1 7 NCA C 6B .0117 - Transitional Adjustments 

1 7 NCA C 6B . 3406 - Refunds 

TRANSPORTATION 



RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 



08/20/92 
08/20/92 
08/20/92 
08/20/92 
08/20/92 



Division of Highways 

19A NCAC 2B .0164 - Use of Right of Way Consultants 

Agency Revised Rule 
19A NCAC 2B .0165 - Asbestos Contracts with Private Firms 

Agency Revised Rule 



RRC Objection 09/17/92 

Obj. Removed 10/15/92 

RRC Objection 08/20/92 

Obj. Removed 10/15/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1612 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions 
along with an index to all recent contested cases decisions which are filed under North Carolina 's 
Administrative Procedure Act. Copies of the decisions listed in the index and not published are available 
upon rct/ucst for a minittud charge by contacting the Office of Administrative Hearings. (919) 733-2698. 



KEY TO CASE CODES 



ABC Alcoholic Beverage Control Commission DST 

BDA Board of Dental Examiners EDC 

BME Board of Medical Examiners EHR 

BMS Board of Mortuar>' Science 

BOG Board of Geologists ESC 

BON Board of Nursing HAP 

BOO Board of Opticians HRC 

CFA Commission for Auctioneers IND 

COM Department of Economic and Community INS 

Development LBC 

CPS Department of Crime Control and Public Safety MLK 

CSE Child Support Enforcement NHA 

DAG Department of Agriculture OAH 

DCC Department of Community Colleges OSP 

DCR Department of Cultural Resources PHC 

DCS Distribution Child Support 

DHR Department of Human Resources POD 

DOA Department of Administration SOS 

DOJ Department of Justice SPA 

DOL Department of Labor 

DSA Department of State Auditor WRC 



Department of State Treasurer 
Department of Public Instruction 
Department of Environment, Health, and 
Natural Resources 
Employment Security Commission 
Hearing Aid Dealers and Fitters Board 
Human Relations Committee 
Independent Agencies 
Department of Insurance 
Licensing Board for Contractors 
Milk Commission 

Board of Nursing Home Administrators 
Office of Administrative Hearings 
Office of State Personnel 
Board of Plumbing and Heating 
Contractors 

Board of Podiatry Examiners 
Department of Secretary of State 
Board of Examiners of Speech and Language 
Pathologists and Audiologists 
Wildlife Resources Commission 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Anne R. Gwaltney. Milton H. Askew. Jr. 

and Anna L. Askew 

\. 

EHR and Pamlico County Health Department 


89 DHR 0699 


Reilly 


07/17/92 


Eleanor R. Edgerton-Taylor 

V. 

Cumberland County Department of Social Services 


89 OSP 1141 


Morrison 


08/18/92 


Annette Carlton 

V. 

Cleveland County Department of Social Services 


90 OSP 0024 


Chess 


08/14/92 


Janice Parker Haughton 

V. 

Halifax County Mental Health, Mental Retardation, 
Substance Abuse Program 


90 OSP 0221 


West 


08/18/92 



1613 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Carolina Water Service, Inc. 

V. 

EHR, Division of Environmental Management 


90 EHR 0415 


West 


09/11/92 


CSX Transportation, Inc. 

v. 

Department of Environment, Health, & Natural Resources 


90 EHR 0628 


Reilly 


07/17/92 


Bruce Keeter 

V. 

Beaufort County Health Department 


90 EHR 0666 


Morgan 


07/28/92 


R. Anthony White 

V. 

Department of Human Resources 


90 CSE 0756 


Morgan 


10/05/92 


Christine Hill 

V. 

Crime Victims Compensation Commission 


90 CPS 0876 


Morgan 


08/24/92 


Tommy D. Hunt 

V. 

Department of Correction 


90 OSP 1011 


Morgan 


10/05/92 


Leslie W. Hall 

V. 

EHR, Division of Marine Fisheries 


90 EHR 1397 


Gray 


10/13/92 


JHY Concord, Inc. 

V. 

Department of Labor 


90 DOL 1421 


Morgan 


07/28/92 


Lick Fork Hills, Inc., Marion Bagwell, President 

V. 

Department of Environment, Health, & Natural Resources 


91 EHR 0023 


Morgan 


07/28/92 


Albert J. Johnson 

V. 

N.C. Victims Compensation Commission 


91 CPS 0038 


Morgan 


07/28/92 


Frank Beal, T/A Wild Wild West 

V. 

Alcoholic Beverage Control Commission 


91 ABC 0164 


Morgan 


09/10/92 


William B. Holden 

v. 

Department of Environment, Health, & Natural Resources 


91 EHR 0176 


Morgan 


08/18/92 


Brenda P. Price 

V. 

North Carolina Central University 


91 OSP 0219 


Morrison 


08/21/92 


Century Care of Laurinburg, Inc. 

V. 

DHR, Division of Facility Services, Licensure Section 


91 DHR 0257 


West 


06/30/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 1614 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NLTVIBER 


ALJ 


FILED 
DATE 


Kenneth E. Fletcher 

V. 

I'niversity of North Carolina at Greensboro 


91 OSP 0315 


Chess 


09/15/92 


Richard L. Gainey 

V. 

Department of Justice 


91 OSP 0341 


Becton 


08/10/92 


Wade Charles Brown, Jr. 

V, 

N.C. Crime Victims Compensation Commission 


91 CPS 0345 


Chess 


07/08/92 


Jackie Bruce Edwards 

V. 

DHR, Western Carolina Center 


91 OSP 0354 


West 


08/20/92 


Central Transport, Inc. 

V. 

Department of Environment. Health, & Natural Resources 


91 EHR 0402 


Morrison 


09/25/92 


Robert C. Howell 

V. 

Department of Correction 


91 OSP 0407 


Morgan 


08/26/92 


Harvey Fertilizer and Gas Company 

V. 

EHR. Division of Environmental Management 


91 EHR 0446 


Morgan 


10/01/92 


Charles E. Roe 

V. 

Department of Environment, Health, & Natural Resources 


91 OSP 0520 


Nesnow 


07/23/92 


Jerry J. Parker 

v. 

Department of Correction 


91 OSP 0546 


Morgan 


08/26/92 


Deborah Binkley 

v. 

Crime Victims Compensation Commission 


91 CPS 0561 


Morgan 


10/02/92 


Air-A-Plane Corporation 

V. 

Department of Environment, Health, & Natural Resources 


91 EHR 0636 


Nesnow 


09/04/92 


Lisa M. Reichstein 

V. 

Office of Student Financial Aid, East Carolina University 


91 OSP 0662 


Nesnow 


06/24/92 


Hudson's "The Acres" Rest Home 

V. 

DHR. Division of Facility Services, Licensure Section 


91 DHR 0665 


Chess 


09/09/92 


Bobby R. Graham 

V. 

DHR. Caswell Center 


91 OSP 0695 


Nesnow 


09/21/92 



1615 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


DHR, Division of Facility Svcs, Child Day Care Section 

V. 

Mary Goodwin, Jean Dodd, D/B/A Capital City Day Care 

Center 


91 DHR 0720 


Morgan 


07/30/92 


Kenneth Helms 

V. 

Department of Human Resources 


91 OSP 0729 


Chess 


07/15/92 


Lloyd C. Neely 

V. 

Department of Correction 


91 OSP 0756 


Morgan 


09/10/92 


Alcoholic Beverage Control Commission 

V. 

Daniels Investments. Inc., t/a Leather & Lace - East 
4205 Monroe Road. Charlotte, N.C. 28205 


91 ABC 0799 


Mami 


07/14/92 


Zelma Babson 

V. 

Brunswick County Health Department 


91 OSP 0804 


Gray 


08/14/92 


ACT-UP Triangle (AIDS Coalition to Unleash Power 
Triangle. Steven Harris, and John Doe 

V. 

Commission for Health Services of the State of N.C, Ron 

Levine, as Assistant Secretary of Health and State Health 

Director for EHR of the State of N.C, William Cobey, as 

Secretary of EHR of the State of N.C. Dr. Rebecca 

Meriwether, as Chief, Communicable Disease Control 

Section of the N.C. EHR, Wayne Bobbitt, Jr., as Chief of 

the HIV/STD Control Branch of the N.C. EHR 


91 EHR 08 18 


Becton 


07/08/92 


Jane C O'Malley, Melvin L. Cartwright 

V. 

EHR and District Health Department Pasquotank- 
Perquimans-Camden-Chowan 


91 EHR 0838 


Becton 


07/02/92 


Cheryl Veronica McNeal 

V. 

Criminal Justice Education & Training Stds Comm 


91 DOJ 0861 


Morgan 


09/22/92 


Thomas E. Vass 

V. 

James E. Long, Department of Insurance 


91 INS 0876 


Morrison 


08/14/92 


William Paul Fearrington 

V. 

University of North Carolina at Chapel Hill 


91 OSP 0905 


Reilly 


08/28/92 


Olde Towne Partnership and Tryon Realty Co. 

V. 

EHR, Division of Coastal Management 


91 EHR 0909 


Morrison 


09/16/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1616 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Gerald R. Pruitt 

V. 

Department of Correction 


91 OSP 0933 


Gray 


09/14/92 


Jones Grading & Fencing, Inc. 

V. 

EHR, Solid Waste Management 


91 EHR 0956 
91 EHR 0324 


Nesnow 


09/28/92 


Grotgen Nursing Home, Inc., Britthaven, Inc. 

V. 

Certificate of Need Section, Div of Facility Svcs, DHR 


91 DHR 0964 
91 DHR 0966 


Nesnow 


07/06/92 


Ralph E. Brown 

V. 

Carla O'Konek, Department of Correction 


91 OSP 0970 


Morgan 


10/07/92 


Anthony J. Carter 

V. 

DHR, Division of Social Services, CSE 


91 CSE 0975 


Nesnow 


09/17/92 


Ramona S. Smith, R.N. 

V. 

N.C. Teachers'/St Emps" Comp Major Medical Plan 


91 DST 0984 


Chess 


06/18/92 


Jarrett Dennis Swearengin 

V. 

DHR, Division of Social Services, CSE 


91 CSE 0986 


Becton 


09/14/92 


Charles H. Yates, Power of Attorney for Ruth Yates 

V. 

N.C. TeachersVSt Emps' Comp Major Medical Plan 


91 INS 1008 


Reilly 


08/21/92 


John McMillan 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1009 


Reilly 


10/01/92 


Walter McGlone 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1030 


Morrison 


07/13/92 


William Oscar Smith 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1042 


Gray 


07/24/92 


William Watson 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1047 


Becton 


07/08/92 


Robert D. Daniels Jr. 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1048 


Morrison 


08/27/92 


Marie McNeill-Pridgen 

V. 

Department of Environment. Health. & Natural Resources 


91 EHR 1059 


Nesnow 


07/17/92 



1617 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DAIE 


Catawba Memorial Hospital 

V. 

DHR, Div of Facility Svcs, Certificate of Need Section 

and 
Frye Regional Medical Ctr, Inc. and Amireit (Frye), Inc. 

and 

Thorns Rehabilitation Hospital Health Services Corp. 

and 

Frye Regional Medical Ctr, Inc. and Amireit (Frye), Inc. 

V. 

DHR, Div of Facility Svcs, Certificate of Need Section 

and 

Thorns Rehabilitation Hospital Health Services Corp. 

and 

Catawba Memorial Hospital 


91 DHR 1061 
91 DHR 1087 


Reilly 


07/13/92 


Edward R. Peele 

V. 

Sheriffs' Education & Training Stds. Commission 


91 DOJ 1092 


Morrison 


08/18/92 


Charles Lawton Roberts 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1097 


Becton 


09/14/92 


William Torres 

V. 

Dept of Justice, Lacy H. Thomburg, Attorney General 


91 DOJ 1098 


Morrison 


08/07/92 


Wade A. Burgess 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1114 


Gray 


07/01/92 


Devoux A. Olliver 

V, 

Department of Human Resources, O' Berry Center 


9] OSP 1151 


Gray 


09/30/92 


Sammie L. Anderson 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1155 


Mann 


09/01/92 


Harry L. King 

V. 

Department of Transportation 


91 OSP 1162 


Morgan 


07/13/92 


Bobby M. Siler 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1169 


Morrison 


10/12/92 


Gilbert Lockhart 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1178 


Morrison 


07/30/92 


Isaac H. Galloway 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1190 


Reilly 


06/30/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1618 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Russell A. Barclift 

V. 

DHR. Division of Social Services, CSE 


91 CSE 1207 

92 CSE 0275 


Reilly 


06/30/92 


Barnabas D. Frederick 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1216 


Nesnow 


09/15/92 


Herman Edward Main II 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1225 


Nesnow 


07/07/92 


Albert Louis Stoner III 

V. 

DHR. Division of Social Services, CSE 


91 CSE 1244 


Gray 


07/01/92 


James E. Greene 

V, 

DHR, Division of Social Services, CSE 


91 CSE 1245 


Nesnow 


07/14/92 


Joseph W. Harris 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1247 


Morgan 


07/28/92 


Celvis M, Burns 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1256 


Mann 


09/01/92 


Rodney Powell 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1257 


Morgan 


07/29/92 


Miles G. Griffm Jr. 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1270 


Gray 


08/27/92 


Gerald E. Anthony 

v. 

DHR, Division of Social Services, CSE 


91 CSE 1274 


Mann 


09/01/92 


Floyd L. Rountree 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1275 


Morgan 


07/22/92 


Ruth Smith Hensley Shondales 

V. 

ABC Commission 


91 ABC 1280 


Chess 


08/05/92 


William James Terry 

V. 

Victims Compensation Commission 


91 CPS 1302 


Morrison 


10/02/92 


Rasoul Behboudi 

y . 

DHR, Division of Social Services. CSE 


91 CSE 1313 


Morrison 


09/15/92 



1619 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


John D. Gaines 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1321 


Chess 


10/05/92 


City- Wide Asphalt Paving, Inc. 

V. 

Department of Environment, Health, & Natural Resources 


91 EHR 1360 


Chess 


07/01/92 


Alcoholic Beverage Control Commission 

V. 

Tre Three, Inc., T/A Crackers, 
Airport Rd., Rockingham, NC 28379 


91 ABC 1372 


Chess 


07/07/92 


Alcoholic Beverage Control Commission 

V. 

Rode Enterprises, Inc., T/A Jordan Dam Mini Mart 


91 ABC 1388 


Gray 


07/30/92 


Blythe M. Bragg 

V. 

University of North Carolina at Chapel Hill 


91 OSP 1421 


Nesnow 


09/08/92 


David W. Williams 

V. 

DHR, Division of Social Services, CSE 


91 CSE 1423 


Morrison 


09/10/92 


Donald R. Allison 

V. 

DHR, Caswell Center 


91 OSP 1427 


Reilly 


06/30/92 


Alfred Rees 

V. 

Department of Environment, Health, & Natural Resources 


92 EHR 0004 


Reilly 


09/03/92 


Mrs. S. 

v, 

Washington County Board of Education 


92 EDC 0023 


Mann 


08/28/92 


Rudolph Tripp 

V. 

Department of Correction 


92 OSP 0024 


Gray 


08/27/92 


Gonzalo Rodriquez T/A Gonzalo's Baile Mexicano 
227 S. Scales Street, Reidsville, NC 27323 

V. 

Alcoholic Beverage Control Commission 


92 ABC 0026 


Chess 


10/01/92 


Lavem Fesperman 

V. 

Mecklenburg County 


92 OSP 0030 


Chess 


07/17/92 


Vale B. Sims 

V. 

Winston-Salem State University 


92 OSP 0031 


Gray 


10/13/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1620 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Paul J. Nonkes 

V. 

Halifax County Health Dept. (Jeff Dillard. Sanitarian) 


92 EHR 0058 


Becton 


08/28/92 


Carrolton of Williamston, Inc. 

V. 

DHR, Division of Facility Services, Licensure Section 


92 DHR 0071 


Bee ton 


08/19/92 


Mattie S. Bryant 

V. 

Department of Transportation 


92 OSP0081 


Reilly 


10/07/92 


Fred Jennings Moody Jr. 

V. 

Sheriffs" Education & Training Stds. Commission 


92 DOJ 0084 


Chess 


07/17/92 


Ronnie Lament Donaldson 

V. 

Sheriffs' Education & Training Standards Commission 


92 DOJ 0092 


Reilly 


07/27/92 


Vernice V. Battle 

V. 

Sheriffs" Education & Training Standards Commission 


92 DOJ 0093 


Becton 


08/28/92 


Hudson's "The Acres" Rest Home 

V. 

DHR. Division of Facility Services, Licensure Section 


92 DHR 0100 


Chess 


09/04/92 


Marvin Helton. Jean Helton 

V. 

DHR, Division of Facility Services 


92 DHR 0102 


Chess 


08/14/92 


Leo Scott Wilson 

v. 

Department of Environment, Health, & Natural Resources 


92 EHR 01 12 


Reilly 


08/26/92 


Ray Charles Ramsey D/B/A Triples Night Club 

v. 

Alcoholic Beverage Control Commission 


92 ABC 0116 
92 ABC 0360 


West 


10/12/92 


Peggy N. Barber 

V. 

The University of North Carolina at Chapel Hill 


92 OSP 0120 


Reilly 


07/13/92 


Luther Dawson Jr. 

V. 

DHR, Division of Facility Services 


92 DHR 0121 


Nesnow 


10/09/92 


Robert C. Thomas 

V. 

Sheriffs' Education & Training Stds. Commission 


92 DOJ 0130 


Chess 


10/02/92 


Alcoholic Be\erage Control Commission 

V. 

John Wade Levels, t/a Tasr\' Grill 


92 ABC 0145 


Nesnow 


07/15/92 



I62I 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Licensing Board for General Contractors 

V. 

Wright's Construction, Inc. (Lie. No. 23065) 


92 LBC 0172 


Gray 


07/31/92 


Richard L. Banks 

V. 

Pasquotank-Perquiraans-Camden-Chowan District Health 

Department (PPCC) & Department of Environment, 

Health, & Natural Resources 


92 EHR 0175 


West 


08/25/92 


America's Management Group, Inc. d/b/a America's 
Health Care of Nashville 

V. 

DHR, Division of Facility Services, Licensure Section 


92 DHR 0183 


West 


10/06/92 


Hudson's "The Acres" Rest Home 

V. 

DHR, Division of Facility Services, Licensure Section 


92 DHR 0186 


Chess 


09/04/92 


Ray Bryant 

V. 

Department of Labor, OSHA 


92 DOL0187 


Nesnow 


08/07/92 


Herbert Hines Jr., H & H 

V. 

Alcoholic Beverage Control Commission 


92 ABC 0189 


Becton 


07/22/92 


William Stevenson 

V. 

Department of Correction 


92 OSP 0201 


Chess 


09/03/92 


Frances B. Billingsley 

V. 

Bd. of Trustees/Teachers & St Employees Retirement Sys 


92 DST 0205 


Morgan 


08/18/92 


Glenn E. Myers 

V. 

Department of Correction 


92 OSP 0217 


ReiUy 


09/14/92 


Lawrence Neal Murrill T/A Knox, 507 1st St SW, 
Hickory, NC 28602 

V. 

Alcoholic Beverage Control Commission 


92 ABC 0220 


Chess 


08/03/92 


William Oats 

V. 

Elizabeth City State University 


92 OSP 0226 


Nesnow 


10/09/92 


Town of Denton 

V. 

Department of Environment, Health, & Natural Resources 


92 EHR 0241 


ReiUy 


07/30/92 


Alcoholic Beverage Control Commission 

V. 

Byrum's of Park Road, Inc., T/A Byrum's Restaurant 


92 ABC 0252 


Gray 


07/30/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1622 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Alcoholic Beverage Control Commission 

V. 

Leo"s Delicatessen #2, Inc., T/A Leo's #2 


92 ABC 0255 


Gray 


07/30/92 


North Topsail Water & Sewer, Inc. 

V. 

Department of Environment, Health, & Natural Resources 


92 EHR 0266 


Morrison 


08/12/92 


Raymond O. and Rita Halle, and the Town of Boone 

V. 

EHR. Division of Land Resources 


92 EHR 0267 
92 EHR 0376 


Gray 


09/18/92 


James L. Stubbs 

v. 

Department of Correction 


92 OSP 0282 


Chess 


10/02/92 


Henn, Thomas Tart 

v. 

DHR, Division of Social Services, CSE 


92 CSE 0283 


Nesnow 


09/15/92 


Virginia Devenny 

V. 

The University of North Carolina at Charlotte 


92 OSP 0301 


Reilly 


09/22/92 


Henry Lane, D/B/A Emerald Health Care Acute Care Ctr 

V. 

DHR, Div of Facility Services, Certificate of Need Section 

and 

Bowman-Richardson Health Care, Inc. D/B/A Wilkes 

Senior Village 


92 DHR 0308 


Gray 


08/28/92 


Azmi Sider, Midtown Mini Mart 

V. 

EHR, Division of Maternal and Child Health. WIC Section 


92 EHR 0317 


Nesnow 


09/16/92 


Gerald G. Strickland 

V. 

Crime Control and Public Safety 


92 CPS 0320 


Chess 


09/10/92 


Charles Wesley McAdams 

V. 

Division of Motor Vehicles 


92 OSP 0332 


Gray 


10/13/92 


Jonathan L. Fann 

v. 

U.N.C. Physical Plant. Herb Paul, Louis Hemdon, Dean 

Justice, Bruce Jones 


92 OSP 0363 


Becton 


08/19/92 


Douglas A. Bordeaux 
Department of Correction 


92 OSP 0378 


Chess 


07/10/92 


Clifton R. Johnson 

v. 

0"Berry Center, Department of Human Resources 


92 OSP 0381 


West 


07/08/92 



1623 



7.-/.^ 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
IWMBER 


ALJ 


FILED 
DATE 


Southeastern Machine & Tool Company, Inc. 

V. 

Department of Environment, Health, & Natural Resources 


92 EHR 0386 


Becton 


07/20/92 


Louvenia Clark 

V. 

Edgecombe County Department of Social Services 


92 OSP 0402 


Reilly 


08/21/92 


Raleigh F. LaRoche 

V. 

Child & Family Services of Wake County 


92 OSP 0409 


Becton 


08/24/92 


Matthew R. Anderson 

V. 

DHR, Division of Social Services, CSE 


92 CSE 0418 


Gray 


10/06/92 


Ell win C. Wetherington Jr. 

V. 

DHR, Division of Social Services, CSE 


92 CSE 0419 


Morrison 


09/28/92 


Paul Reeves, Youth University Child Care 

V. 

Child Day Care Section, Division of Facility Svcs 


92 DHR 0424 


West 


08/21/92 


Mr. & Mrs. James C. Stanton 

V. 

Charlotte-Mecklenburg School System 


92 EDC 0430 


Nesnow 


08/04/92 


James Cooper Lewis 

V. 

Sheriffs' Education & Training Standards Commission 


92 DOJ 0461 


Reilly 


09/15/92 


Alcoholic Beverage Control Commission 

V. 

Roy William Teague, T/A Jamie's 


92 ABC 0474 


Reilly 


10/15/92 


Alcoholic Beverage Control Commission 

V. 

508 Investors, Inc., t/a Johnathon's Restaurant 


92 ABC 0476 


Nesnow 


09/24/92 


Jon David Amundson 

V. 

Davidson County Mental Health 


92 OSP 0503 


Becton 


09/10/92 


Northview Mobile Home Park 

V. 

Department of Environment, Health, & Natural Resources 


92 EHR 0507 


Reilly 


07/13/92 


Yolanda Lynn Bethea 

V. 

DHR, Division of Social Services, CSE 


92 DCS 0513 


Becton 


08/14/92 


Frank Humphrey 

V. 

EHR, Division of Environmental Management 


92 EHR 0514 


Morrison 


10/08/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1624 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Alice Hunt Davis 

V. 

Department of Human Resources 


92 OSP 0526 


West 


07/16/92 


Jimmy F. Bailey Sr. 

V. 

Department of State Treasurer, Retirement Systems Div 


92 DST 0536 


Morgan 


08/18/92 


Bramar. Inc.. t/a Spike's 

V. 

Alcoholic Beverage Control Commission 


92 ABC 0554 


Mann 


08/13/92 


Grady Lockhart Jr. 

V. 

DHR. Division of Social Services, CSE 


92 CSE 0565 


Becton 


09/28/92 


Ralph J. Ogburn 

V. 

Private Protective Services Board 


92 DOJ 0571 


Nesnow 


08/07/92 


George M. Hagans 

V. 

DHR, (Cherry Hospital) 


92 OSP 0583 


Morgan 


09/21/92 


Gilbert Todd Sr. 

V. 

Public Water Supply Section 


92 EHR 0586 


Morrison 


08/06/92 


Candance Y. Johnson 

V. 

Division of Motor Vehicles 


92 DOT 0589 


Becton 


08/24/92 


John W. Surles 

V. 

N.C. Crime Victims Compensation Commission 


92 CPS 0595 


Reilly 


07/13/92 


Pamela Jean Gass 

V. 

DHR, Division of Social Services, CSE 


92 DCS 0623 


Morrison 


08/14/92 


J.W. Reed 

v. 
Department of Correction 


92 OSP 0638 


Morrison 


08/11/92 


Carson Davis 

V. 

Department of Correction 


92 OSP 0650 


Reilly 


08/10/92 


Luther Hall Clontz 

V. 

Western Carolina Center (NC of Human Resources) 


92 OSP 0652 


Becton 


09/10/92 


Private Protective Services Board 

V. 

Mark Andrew Perry 


92 DOJ 0662 


Becton 


09/10/92 



1625 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Stauffer Information Systems 

V. 

Department of Community Colleges and the N.C. 

Department of Administration 

and 

The University of Southern California 


92 DOA 0666 


West 


07/08/92 


Dortheia B. Marley 

V. 

Department of Correction 


92 OSP 0667 


West 


09/28/92 


Nancy J. Tice 

V. 

Administrative Off of the Courts, Guardian Ad Litem Svcs 


92 OSP 0674 


Morrison 


08/11/92 


L. Stan Bailey 

v. 

Chancellor Moran and UNC-Greensboro 


92 OSP 0679 


West 


07/10/92 


Arnold McCloud T/A Club Castle 

V, 

Alcoholic Beverage Control Commission 


92 ABC 0681 


Morrison 


07/25/92 


Joyce Faircloth, T/A Showcase Lounge 

V. 

Alcoholic Beverage Control Commission 


92 ABC 0713 


Morrison 


07/25/92 


James B. Price 

v. 

Department of Transportation 


92 OSP 0725 


Mann 


09/02/92 


Edmonia Lang 

V. 

Carteret County Board of Education 


92 OSP 0736 


Mann 


08/28/92 


Larry Bruce High 

V. 

Alarms Systems Licensing Board 


92 DOJ 0755 
92 DOJ 0785 


Nesnow 


08/25/92 


Wyoming Gilliam 

V. 

DHR, Division of Social Services, CSE 


92 CSE 0772 


Gray 


09/29/92 


Timothy Wylie 

V. 

Department of State Treasurer, Retirement Systems Div 


92 DST 0793 


Morrison 


09/29/92 


Rosie W. Harrell 

V. 

Administrative Office of the Courts 


92 OSP 0846 


West 


09/17/92 


Robert Aiken 

V. 

Department of Correction 


92 OSP 0872 


Gray 


09/25/92 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1626 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Daniel N. Jones 

V. 

N.C. Victims Compensation Commission 


92 CPS 0879 


Chess 


08/28/92 


Paul Hunter 

V. 

Dorothea Dix Hospital 


92 OSP 0878 


Chess 


09/29/92 


David V. Cates 

V. 

Alarm Systems Licensing Board 


92 DOJ 0892 


Becton 


10/05/92 



1627 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 
COUNTY OF LENOIR 91 EHR 0446 



HARVEY FERTILIZER AND GAS COMPANY, ) 

Petitioner, ) 



) 

) FINAL DECISION 



) 

N. C. DEPARTMENT OF ENVIRONMENT, ) 

HEALTH AND NATURAL RESOURCES, ) 

DIVISION OF ENVIRONMENTAL MANAGEMENT ) 

Respondent. ) 



This matter comes before the undersigned administrative law judge upon the filing of Respondent's 
Motion to Dismiss Pursuant to G.S. lA-1, R. 12(b) (1), or In the Alternative, R. 12(b) (6) on July 15, 1991. 
The Petitioner filed its Response to Respondent's Motion to Dismiss on July 29, 1991. After each of the 
parties filed briefs to support their respective positions, the parties made oral presentations concerning the 
motion on September 19, 1991. 

In its motion to dismiss, the Respondent contends that the Office of Administrative Hearings does not 
have the subject matter jurisdiction over this matter in light of Batten y^ N.C. Dept. of Correction , 326 N.C. 
338, 389 S.E.2d 35 (1990) because the Petitioner does not have a substantive right to a hearing on its claim. 
Alternatively, the Respondent claims that the Petitioner has failed to state a proper claim for relief based upon 
the doctrine of sovereign immunity. The Petitioner counters, in its response to the motion to dismiss, that 
the Batten case is inapplicable here and that the Office of Administrative Hearings has jurisdiction over this 
action. It further asserts that the Respondent is not shielded by the doctrine of sovereign immunity from a 
claim against it by the Petitioner. 

FACTS 

The record in this case indicates that the facts which gave rise to this dispute are uncontro verted. On 
February 7, 1991 at 5:00 PM, the Petitioner's bulk petroleum terminal in Kinston, North Carolina, where 
gasoline and other petroleum products were stored in above-ground tanks, was closed and secured by its 
employees. However, at approximately 7:30 PM, valves of the Petitioner's tanks were opened, causing 
gasoline to pour onto the ground. By the time that the flow of gasoline had been stopped, some 3, (XX) gallons 
of the substance had poured from the containers. 

Area emergency units responded to this gasoline spill, along with Representatives of the Petitioner 
and the Respondent. The Petitioner's officials stated that the gasoline spill was caused by an anonymous 
person scaling its perimeter fence, turning on the previously-disengaged electrical switches, pulling down the 
filler arms to ground level and opening the gasoline container valves. However, an official of the 
Respondent's regional office of its Division of Environmental Management placed responsibility for the 
gasoline spill upon the Petitioner, regardless of the cause of the release, and further held the Petitioner 
accountable for cleaning up the spill. The Respondent's official also instructed the Petitioner that the 
Respondent would issue a Notice of Violation to the Petitioner, assess substantial penalties against it and 
possibly institute criminal proceedings against it if the Petitioner refused to take immediate responsibility for 
the removal of the spilled gasoline. Some of the spillage flowed into Adkin's Branch and towards the Neuse 
River. 

The Petitioner's representatives informed the Respondent's official that the Petitioner would undertake 
to remove the gasoline spill under protest and would reserve the right to seek reimbursement from the State 
of North Carolina for the Petitioner's costs of removal. The Petitioner immediately retained the services of 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1628 



CONTESTED CASE DECISIONS 



a business v\hich handled the containment and removal of the gasoline spill. This business has billed the 
petitioner in the amount of S3 1 ,500.00 for the costs of containment and removal of the spill. In addition, the 
Petitioner has incurred costs to clean up this gasoline spill at the direction of the Respondent in the amounts 
of S8.302.39 for the cit}' of Kinston's costs in responding to the spill and Si. 891. 55 for supervision of the 
containment and removal. Other expenses of the Petitioner in this regard include the cost of its employees' 
work and attorneys' fees. 

The Petitioner applied to the Respondent for reimbursement of the Petitioner's costs to handle the 
gasoline spill. The Petitioner states that the total of these costs exceeds $41,000.00. The Respondent has 
denied the Petitioner's claim for any reimbursement. TTie Petitioner filed a Petition for a Contested Case 
Hearing in the North Carolina Office of Administrative Hearings, appealing the Respondent's denial of the 
Petitioner's reimbursement claim. 

CONCLUSIONS OF LAW 

The Petitioner seeks the reimbursement of its costs from the Respondent for the containment and 
removal of the gasoline spill under the provisions of North Carolina General Statutes Section 143-215.87. 
which establish the Oil or Other Hazardous Substances Pollution Protection Fund (hereafter referred to as 
"the Fund"). This statute states, in pertinent part: 

"There is hereby established under the control and direction of the Department [of 
Environment. Health and Natural Resources] an Oil or Other Hazardous Substances Pollution 
Protection Fund. . .The moneys shall be used to defray the expenses of any project or program 
for the containment, collection, disposal or remo\'al of oil or other hazardous substances 
discharged to the land or waters of this State..." 

N.C.G.S. §143-215.88 addresses the matter of payments from the Fund to State agencies or State-designated 
local agencies and states, again in pertinent part: 

"Upon the completion of an\' oil or other hazardous substances removal or restoration project 
or activity conducted pursuant to the provisions of the Part [2 of Article 21 A of the North 
Carolina General Statutes], each agency of the State or any State-designated local agency that 
has participated by furnishing personnel, equipment or material shall deliver to the 
Department [of Environment. Health and Natural Resources] a record of the expenses 
incurred b\ the agency. The amount of incurred expenses shall be disbursed by the Secretary 
[of En\ ironment. Health and Natural Resources] to each such agency from the Oil or Other 
Hazardous Substances Pollution Protection Fund..." 

There is no statutory authority in Article 21 A of the North Carolina General Statutes, where the laws 
governing the administration of the Fund are found, which creates or recognizes a party's right to appeal the 
Respondent's denial of the party's request for disbursement of moneys from the Fund for expenses which were 
incurred by the party for containment, collection, disposal or removal of gasoline. In its petition initiating 
this contested case, the Petitioner alleges that the Respondent did not have the authority to order the Petitioner 
to clean up the gasoline spill at issue and subsequently to refuse the Petitioner's request to reimburse these 
spillage-related expenses from the Fund. In the absence of a statuton,' provision which creates or recognizes 
a right to initiate such an action, the Petitioner argues in its brief that Title 15A. Chapter IB. Section .0202 
of the North Carolina .Administrative Code authorizes this type of proceeding. This administrative rule states: 

"Contested case hearings are available as provided in G.S. 150B. and petitions for contested 
case hearings shall be filed in accordance with the provisions of that Chapter. " 

In Batten v. N.C. Dept. of Correction . 326 N.C. 338. 389 S.E.2d 35 (1990). the Supreme Court of 
-North Carolina provided a thoughtful analysis of the relationship between a substantive body of law and 
Chapter 1508 of the North Carolina General Statutes in determining the existence of a party's substantive right 
to a contested case hearing in the Office of Administrative Hearings (OAH). In Batten , the plaintiff 



1629 7:15 NORTH CAROLINA REGISTER November 2, 1992 



CONTESTED CASE DECISIONS 



challenged the defendant's downward reallocation of the plaintiffs job position under a reorganization of the 
defendant's personnel. In addressing the issue concerning the Office of Administrative Hearings' subject 
matter jurisdiction over the plaintiffs action, the Supreme Court began its analysis by observing; 

"TTie jurisdiction of the OAH over the appeals of state employee grievances derives not from 
Chapter 150B, but from Chapter 126. The administrative hearing provisions of Article 3, 
Chapter 150B, do not establish the right of a person 'aggrieved' by agency action to OAH 
review of that action, but only describe the procedures for such review." (326 N.C. at 342- 
343, 389 S.E.2d at 38) 

The high court next observed that the Office of Administrative Hearings' jurisdiction over appeals of state 
employees grievances is expressly granted in the State Personnel Act, which states in N.C.G.S. 126-37(a): 

"Appeals involving a disciplinary action, alleged discrimination, and any other contested case 
arising under this Chapter [126 of the North Carolina General Statutes] shall be conducted 
in the Office of Administrative Hearings as provided in Article 3 of Chapter 150B [of the 
North Carolina General Statutes]..." 

After recognizing "that Chapter 1508 merely provides procedural guidelines to be followed in order to satisfy 
substantive rights established under Chapter 126" (326 N.C. at 344, 389 S.E.2d at 39), the Supreme Court 
held that the Office of Administrative Hearings had jurisdiction to determine the plaintiffs appeal because the 
plaintiffs pursuit of all informal procedures mandated by the State Personnel Act and by the North Carolina 
Administrative Code for the resolution of his grievance had caused his dispute with the defendant to become 
a "contested case" for purposes of review under Chapter 1508. 

An application of the Supreme Court's methodical jurisdictional analysis in Batten v^ N.C. Dept. of 
Correction, supra to the present case illustrates that the Office of Administrative Hearings does not have 
subject matter jurisdiction over the instant matter. In Batten , the substantive provisions of the State Personnel 
Act granted the plaintiff an express right to appeal to the Office of Administrative Hearings which was 
embodied in N.C.G.S. 126-37(a); however, in the present action, the substantive provisions of the Oil 
Pollution and Hazardous Substances Control Act do not create or recognize any right of the Petitioner to bring 
an action in the Office of Administrative Hearings to appeal the Respondent's denial of the Petitioner's request 
for reimbursement of its gasoline spillage clean-up expenses from the Fund. While the Petitioner cites 15A 
NCAC 18.0202 as sufficient legal authority to place its dispute with the Respondent within the subject matter 
jurisdiction of the Office of Administrative Hearings in lieu of express statutory authority, the Petitioner's 
reliance on this administrative rule is misplaced. 15A NCAC 13.0202 does not grant the Petitioner a 
substantive legal right to appeal the Respondent's denial of this request for a disbursement from the Fund, but 
merely codifies the Respondent's recognition that contested case hearings in which it is involved are governed 
by Chapter 1508 of the North Carolina General Statutes. In light of the state's highest court's observation 
in Batten that Chapter 1508 provided only procedural guidelines, and that any jurisdiction of the Office of 
Administrative Hearings and any substantive rights would have to be derived from Chapter 126, a consistent 
analysis in the case sub judice would require that Article 21 A of Chapter 143 of the North Carolina General 
Statutes provide the substantive legal rights of the Petitioner which are necessary to invoke the jurisdiction 
of the Office of Administrative Hearings. Since the Oil Pollution and Hazardous Substances Control Act does 
not create or recognize a substantive right of the Petitioner to appeal the Respondent's denial of the 
Petitioner's request for disbursement of moneys from the Fund for the Petitioner's costs of and removal of 
the gasoline spill, with I5A NCAC 18.0202 merely serving as a reference to Chapter 1508 which operates 
only as a procedural mechanism in conjunction with substantive law under the principles of Batten v^ N.C. 
Dept. of Correction, supra to grant subject matter jurisdiction to the Office of Administrative Hearings in a 
contested case, the Office of Administrative Hearings therefore does not have subject matter jurisdiction to 
entertain the Petitioner's appeal concerning the Respondent's denial of the Petitioner's request for the 
disbursement of moneys from the Oil or Other Hazardous Substances Pollution Protection Fund. 

The cases upon which the Petitioner principally relies in its brief are readily distinguishable. In 
Orange County v. North Carolina Department of Transportation . 46 N.C. App. 350, 265 S.E.2d 890 (1980) 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1630 



CONTESTED CASE DECISIONS 



a set of regulations which included a provision for an appeal of an agency environmental determination was 
promulgated pursuant to the North Carolina Environmental Protection Act (NCEPA). The North Carolina 
Court of Appeals ruled that "the NCEPA and the regulations effectively broaden the definition of 'contested 
case' and expand the scope of procedural remedies available under the Administrative Procedure Act..." 
(EMPHASIS ADDED) [46 N.C. App. at 375, 265 S.E.2d at 907] In the present case, however, there is no 
procedural statutory provision or regulation enacted pursuant to the Oil Pollution and Hazardous Substances 
Control Act which operates, together with the Act, to qualify the Petitioner's action as a contested case within 
the subject matter jurisdiction of the Office of Administrative Hearings. The procedural regulation 15A 
NCAC IB. 0202 was not enacted pursuant to, and does not operate in conjunction with, the Oil Pollution and 
Hazardous Substances Control Act to confer subject matter jurisdiction upon the Office of Administrative 
Hearings in this matter. The Petitioner also cites Metropolitan Sewerage District of Buncombe County. North 
Carolina v. North Carolina Wildlife Resources Commission , 100 N.C. App. 171, 394 S.E.2d 668 (1990) 
where the North Carolina Court of Appeals identified the plaintiffs dispute with the defendant as a contested 
case over which the Office of Administrative Hearings had jurisdiction. The appellate court determined that 
the defendant's rejection of the plaintiffs site study constituted a dispute which ultimately became a contested 
case. In the instant case, however, the dispute between the Petitioner and the Respondent does not qualify 
as a contested case within the subject matter jurisdiction of the Office of Administrative Hearings because 
there is no recognized right to appeal here. 

Due to the undersigned's dispositive consideration of the Respondent's argument in its dismissal 
motion documents concerning the lack of subject matter jurisdiction under the doctrine of Batten v^ N.C. Dept 
of Correction, supra , it is unnecessary to address the Respondent's remaining arguments concerning the lack 
of subject matter jurisdiction based upon the doctrine of sovereign immunity. 

FINAL DECISION 

This contested case is DISMISSED for lack of jurisdiction under N.C.G.S. 150B-36(c). 

NOTICE 

In order to appeal a Final Decision, the person seeking review must file a Petition in the Superior 
Court of Wake County or in the superior court of the county where the person resides. The Petition for 
Judicial Review must be filed within thirty (30) days after the person is served with a copy of the Final 
Decision. G.S. 150B-46 describes the contents of the Petition and requires service of the Petition on all 
parties. 



This is the 1st day of October, 1992. 



Michael Rivers Morgan 
Administrative Law Judge 



1631 7:15 NORTH CAROLINA REGISTER November 2, 1992 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF YANCEY 



ESf THE OFFICE OF 
ADMINISTRATIVE HEARINGS 

92 DO J 0130 



ROBERT C. THOMAS. 

Petitioner, 



NORTH CAROLINA SHERIFFS' EDUCATION 
AND TRAINING STANDARDS COMMISSION, 
Respondent. 



PROPOSAL FOR DECISION 



BACKGROUND 

This matter was heard in Burnsville, Yancey County, North Carolina on June 30, 1992, before 
Administrative Law Judge Sammie Chess, Jr., pursuant to North Carolina General Statutes section 
150B(40)(e). On February 11, 1992, Petitioner, Robert C. Thomas, Chief Deputy Sheriff for Yancey County, 
petitioned the Office of Administrative Hearings for a contested case hearing to appeal the decision of the 
Director of the North Carolina Sheriffs' Education and Training Standards Commission to summarily his 
Certification as a Deputy Sheriff. 

APPEARANCES 



For Petitioner: 



J. Todd Bailey 
BAILEY and BAILEY 
Attorney at Law 
Post Office Box 217 
Burnsville, North Carolina 



For Respondent: 



John J. Aldridge, III 
Associate Attorney General 
N. C. Department of Justice 
F. O. Box 629 

Raleigh, North Carolina 



ISSUES 

Whether Respondent acted erroneously, failed to use proper procedure, acted arbitrarily and 
capriciously or failed to act as required by law leading up to, or during Petitioner's summary suspension from 
his position as Chief Deputy Sheriff for Yancey County? 

STATUTES AND RULES INVOLVED 

N.C.G.S. Chapter 17E 

N.C.G.S. 150B-3(c) 

12 N.C.A.C. lOB .0503(a) 

12 N.C.A.C. lOB .0505(a)(20) 

12 N.C.A.C. lOB .0505(b) 

SUMMARY OF DECISION 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1632 



CONTESTED CASE DECISIONS 



The undersigned Administrative Law Judge finds that the Director of the North Carolina Sheriffs" 
Education and Training Standards Commission acted under a misinterpretation of the law when she failed to 
consider Petitioner's prior extensive training and experience in considering whether to authorize a waiver of 
the Basic Law Enforcement Training Course, and acted arbitrarily and capriciously in summarily suspending 
Petitioner from his duties as Chief Deputy Sheriff without a hearing and without and findings of fact to 
support summary suspension. 

The parties entered the following: 

STIPULATIONS 

1. Both parties received proper Notice of Hearing as required by law. 

2. To the extent relevant, official notice may be taken of provisions of the North Carolina 
Administrative Code, including 12 N.C.A.C. lOB .0503(a), 12 N.C.A.C. lOB .0505(a)(20), and 12 N.C.A.C. 
lOB .0505(b). 

3. That the letters identified as ExJiibits (8) through (14) in the Prehearing Order were received 
by the respective addressees. 

4. That on February 4. 1992, Petitioner requested an Administrative Hearing in this matter. 

EXHIBITS 
The following exhibits were admitted into evidence: 
L Respondent's Exhibits 1-19. 

FINDINGS OF FACT 

1 . Both parties are properly before the Office of Administrative Hearings and the Administrative 
Law Judge, in that jurisdiction and venue are proper, and both parties received proper notice of hearing 
required pursuant to North Carolina General Statute section 150B-23. 

2. That the North Carolina Sheriffs' Education and Training Standards Commission is granted 
the authority under Chapter 17E of the North Carolina Statutes and Title 12 N.C.A.C Chapter 10, 
Subchapter lOB, to certify justice officers as either deputy sheriffs or jailers and to deny, revoke or suspend 
such certification. 

3. On December 3, 1990, Petitioner was appointed Chief Deputy to the Sheriff of Yancey 
County by appointment of the duly elected Sheriff which continues to this date. 

4. Petitioner's personal historv' and educational and professional qualifications are as set forth 
in Petitioner's exhibits 2 and 16. 

5. Prior to his appointment as Chief Deputy Sheriff, Petitioner's last service in a sworn-in law 
enforcement position ended January 1. 1987, when he retired following 17 years and 5 months service with 
the State Bureau of In\estigation. 

6. On January 25, 1991, the Commission found and certified that Petitioner "appears to meet 
the MINIMUM STANDARD REQUIREMENTS for appointment as a LAW ENFORCEMENT OFFICER 
OF THE STATE OF NORTH CAROLINA OVER ANY OF ITS POLITICAL SUBDIVISIONS" and through 
its Director issued Petitioner Probationary Certification as a Deputy Sheriff through December 3, 1991. 



1633 7:15 NORTH CAROLINA REGISTER November 2, 1992 



CONTESTED CASE DECISIONS 



7. Under letter of January 25, 1991, the Commission Director advised Petitioner that an 
evaluation of his training and experience had been conducted and that by reason of the provisions of 12 
N.C.A.C. lOB .0505(a)(4), Petitioner was required to complete "a Commission-Accredited Basic Course in 
its entirety and successfully pass the State Comprehensive Examination" within the probationary period 
prescribed in 12 N.C.A.C. lOB .0503(a). (Exhibit 8 and testimony of Joan G. Neuner) 

8. Under letter of May 13, 1991, Petitioner wrote the Division Director requesting a waiver of 
training and enclosed documentary evidence of his training in supplement to the materials submitted with his 
initial application (Exhibit 9) The documentary evidence furnished to the Commission was the same 
documents constituting Exhibit 16. 

9. Under letter of May 21, 1991, the Commission Director advised Petitioner that the 
"Commission does not have the authority to honor your request for a Waiver of its Basic Training 
Requirements." (Exhibit 10) 

10. In the May 21, 1991 letter the Commission Director advised Petitioner that the provisions 
of 12 N.C.A.C. lOB .0505(a)(20) also prohibited his eligibility for a training waiver. (Exhibit 10 and 
Testimony of Joan G. Neuner) 

11. Petitioner has not participated in the Basic Law Enforcement Training desired by the 
Commission. 

12. Under letter of December 3, 1991, the Commission's Director wrote Petitioner that he was 
no longer a Certified Deputy Sheriff, that his exercise of the authority of a Deputy Sheriff was " a danger to 
the public health, safety, and welfare of the citizens of this State," and advised that his failure to quit the 
duties of a Deputy Sheriff would be a violation of the law. (Exhibit 12) 

13. Petitioner received no notice or opportunity for hearing prior to the agency action on 
December 3, 1991. (Testimony of the Petitioner and Joan G. Neuner) 

14. On February 19, 1992, after the fact of his suspension. Petitioner appeared at a meeting of 
the Commission which denied a motion to waive training and adopted a motion to require that Petitioner 
complete training. The vote on both motions was divided. (Testimony of Joan G. Neuner) 

15. Petitioner received the December 3, 1991 letter of suspension on December 9, 1991 , and filed 
petitions for Hearing with both the Office of Administrative Hearings and the Commission. (See Petitions) 

16. Upon Application of the Commission, the undersigned Administrative Law Judge was 
assigned to preside in this matter. 

17. Witnesses familiar with the Petitioner's prior training and experience testified that "required 
attendance in the Basic Law Enforcement Training Course would be impractical" (Testimony of Sheriff 
Kermit Banks, Ray Garland, and Petitioner) and the uncontradicted evidence in that regard is accepted and 
approved a Finding of Fact. 

18. Kermit Banks, the incumbent Sheriff of Yancey County who appointed Petitioner, and Ray 
Garland, retired Assistant Director of the State Bureau of Investigation, with 38 years of service, both testified 
to Petitioner's high qualifications to serve as Chief Deputy Sheriff and opined that Basic Law Enforcement 
Training would be a waste of time for Petitioner. In view of the witnesses' credibility and the prior extensive 
training and experience of Petitioner, the undersigned finds that Petitioner has completed training equivalent 
to the Commission's Basic Law Enforcement Training Course for Deputy Sheriffs and that his experience and 
training evince ability beyond Basic Law Enforcement Training. 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1634 



CONTESTED CASE DECISIONS 



19. That Commission's Director did not advise Petitioner that a Waiver of Training could be 
approved by the Commission upon Petition of the Sheriff under North Carolina General Statutes 17E-7, or 
under the provisions of 12 N.C.A.C. lOB .0504. (Testimony of Joan G. Neuner) 

20. The Commission's Director did not advise Petitioner of her authority to waive training under 
12 N.C.A.C. lOB .0505(b) and no consideration was given to Petitioner's eligibility for a waiver thereunder. 
(Testimony of Joan G. Neuner) 

21. The sole basis for the statement that Petitioner's continued service as Chief Deputy Sheriff 
was a "danger to the public health, safety, and welfare of the citizens of this State" contained in the December 
3, 1991 letter of summary suspension is the Commission's determination in 12 N.C.A.C. 12B .0206 that 
failure to comply with regulatory requirements affect[s] the public health, safety, or welfare. (Testimony of 
Joan G. Neuner) 

Based on the foregoing Findings of Fact, the Administrative Law Judge makes the following: 

CONCLUSIONS OF LAW 

1. The North Carolina Sheriffs' Education and Training Standards Commission is an agency 
established by the Legislature pursuant to Chapter 17E of the North Carolina General Statutes. 

2. The summary suspension of Petitioner's certification as a Chief Deputy Sheriff and the refusal 
to approve a Waiver of the Basic Law Enforcement Training Course was arbitrary and capricious and the 
Commission Director's indication to Petitioner that there existed no authority for a training waiver was based 
upon mistake or misrepresentation of the applicable statutes and regulations for the reasons that: 

(a) Despite the rules set forth in 12 N.C.A.C. lOB .0505(a) for use of the 
Division Staff in evaluating a Deputy's eligibility for a waiver of training, 
the Commission has authority to waive training under 12 N.C.A.C. lOB 
.0504 and the Commission's authority is not bound by the guidelines for the 
Division Staff. 

(b) The Commission's Director has authority to exercise discretion in 
determining the amount of training required for a Deputy Sheriff during his 
probationary period "where an evaluation of the applicant's prior training 
and experience determine that required attendance in the entire Basic Law 
Enforcement Training Course would be impractical." 

(c) The Commission has authority to waive training upon Petition of a 
Sheriff under General Statutes 17E-7. 

3. The suspension and refusal to waive training was arbitrary and capricious for the reason that 
the Commission Director failed and refused to exercise and misrepresented the existence of her authority under 
12 N.C.A.C. lOB .0505(b). 

4. Respondent's failure to independently and objectively consider Petitioner's extensive prior 
training and experience in considering whether to authorize waiver of some or all of the Basic Law 
Enforcement Training Course was arbitrary and capricious. 

5. Because the decision to revoke Petitioner's Certification as a Deputy Sheriff was adjudicatory 
and therein affected his rights, and because there is no evidence to support a finding that the public health, 
safety, or welfare required emergency action, the agency action of December 3. 1991. in this case, without 
notice to Petitioner, and opportunity for Hearing prior to such agency action, was in violation of the law. 
Scroggs \\ North Carolina Criminal Justice Standards Commission . 101 N.C. App. 699 (1991). 



1635 7:15 NORTH CAROLINA REGISTER November 2, 1992 



CONTESTED CASE DECISIONS 



Based on the foregoing Findings of Facts, Conclusions of Law, and a preponderance of the substantial 
evidence in the record, the Administrative Law Judge makes the following: 

PROPOSALS FOR DECISION 

Based upon the foregoing Findings of Fact and Conclusions of Law, it is proposed that the North 
Carolina Sheriffs' Education and Training Standards Commission withdraw its action set forth in the 
December 3, 1991 suspension letter in that said action was erroneous, arbitrary and capricious and contrary 
to law, Scroggs \\ North Carolina Criminal Justice Standards Commission 10 N.C. App. 699 (1991), or In 
the Alternative, that the Commission reverse the summary suspension of Petitioner's Certification and issue 
a waiver of any further training of Petitioner. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative 
Hearings, P.O. Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina General 
Statutes 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an 
opportunity to file exceptions to this proposal for decision, to submit proposed findings of fact and to present 
oral and written arguments to the agency. G.S. 150B-40(e). 

The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties and to 
furnish a copy to the parties' attorney of record and to the Office of Administrative Hearings . 

The agency that will make the final decision in this contested case is the North Carolina Sheriffs' 
Education and Training Standards Commission. 

This is the 2nd day of October, 1992. 



Sammie Chess, Jr. 
Administrative Law Judge 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1636 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



1 he North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, 
titles and chapters, are mandatory. The major subdivision of the NCAC is the title. Each major 
department in the North Carolina executive branch of government has been assigned a title number. 
Titles are further broken down into chapters which shall be numerical in order. The other two, 
subchapters and sections are optional subdivisions to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



Architecture 2 

Auctioneers 4 

Barber Examiners 6 

Certified Public Accountant Examiners 8 

Chiropractic Examiners 10 

General Contractors 12 

Cosmetic Art Examiners 14 

Dental Examiners 16 

Dietetics/Nutrition 17 

Electrical Contractors 18 

Electrolysis 19 

Foresters 20 

Geologists 21 

Hearing Aid Dealers and Fitters 22 

Landscape Architects 26 

Landscape Contractors 28 

Marital and Family Therapy 31 

Medical Examiners 32 

Midwifery Joint Committee 33 

Mortuary Science 34 

Nursing 36 

Nursing Home Administrators 37 

Occupational Therapists 38 
Opticians - 40 

Optometry 42 

Osteopathic Examination & Reg. (Repealed) 44 

Pharmacy 46 

Physical Therapy Examiners 48 
Plumbing, Heating & Fire Sprinkler Contractors 50 

Podiatry Examiners 52 

Practicing Counselors 53 

Practicing Psychologists 54 

Professional Engineers & Land Surveyors 56 

Real Estate Commission 58 

Refrigeration Examiners 60 

Sanitarian Examiners 62 

Social Work 63 
Speech & Language Pathologists & Audiologists 64 

Veterinary Medical Board 66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



I 


Administration 


2 


Agriculture 


3 


Auditor 


4 


Economic & Community Development 


5 


Correction 


6 


Council of State 


7 


Cultural Resources 


8 


Elections 


9 


Governor 


10 


Human Resources 


11 


Insurance 


12 


Justice 


13 


Labor 


14A 


Crime Control & Public Safety 


15A 


Environment, Health, and Natural 




Resources 


16 


Public Education 


17 


Revenue 


18 


Secretary of State 


19A 


Transportation 


20 


Treasurer 


*21 


Occupational Licensing Boards 


22 


Administrative Procedures 


23 


Community Colleges 


24 


Independent Agencies 


25 


State Personnel 


26 


Administrative Hearings 



1637 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



CUMULATIVE INDEX 



CUMULATIVE INDEX 

(April 1992 - March 1993) 



Pages 



Issue 



1 - 105 .'. ..... ..y 1 - April 

106 - 173 2 - April 

174 - 331 3 - May 

332 - 400 4 - May 

401 - 490 5 - June 

491 - 625 6 - June 

626 - 790 7 - July 

791 - 902 8 - July 

903 - 965 9 - August 

966 - 1086 10 - August 

1087 - 1154 11 - September 

1155 - 1253 12 - September 

1254 - 1350 13 - October 

1351 - 1463 14 - October 

1464 - 1640 15 - November 

ADMINISTRATION 

Auxiliary Services, 4 .-. 

Motor Fleet Management Division, 794 • . 

AGRICULTURE 

Gasoline and Oil Inspection Board, 336 

Pesticide Board, 1276 

Plant Industry, 904 

Structural Pest Control Committee, 332 

Veterinary Division, 342 

COMMUNITY COLLEGES 

Community Colleges, 1535 
General Provisions, 1531 
Miscellaneous Programs, 1598 

CULTURAL RESOURCES 

U.S.S. Battleship Commission, 911 

ECONOMIC AND COMMUNITY DEVELOPMENT 

Banking Commission, 629, 1467 
Community Assistance, 909, 968 
Departmental Rules, 801 

ENVIRONMEIVT, HEALTH, AND NATURAL RESOURCES 

Adult Health, 1199 

Coastal Management, 211, 655. 1098, 1507 

Departmental Rules, 826 

Environmental Health, 223 

Environmental Management, 190, 416. 500, 644, 830, 1013, 1487 

Governor's Waste Management Board, 564, 920, 1197 

Health: Epidemiology, 140, 1212 



7:15 



NORTH CAROLINA REGISTER 



November 2, 1992 



1638 



CUMULATIVE INDEX 



Health: Personal Health, 1217 

Health Services, 52, 659, 1174 

Marine Fisheries, 530 

NPDES Permits Notices, 1, 107 

Radiation Protection, 136, 1520 

Sedimentation Control, 920 

Vital Records. 565 

Wildlife Resources Commission, 28, 133, 408, 449, 551, 921, 1299, 1414 

Wildlife Resources Commission Proclamation, 176 

FINAL DECISION LETTERS 

Voting Rjghts Act, 106, 174, 406, 493, 628, 793, 966, 1090, 1275, 1465 

GENERAL STATUTES 

Chapter 150B. 1254 

GOVERNOR/LT. GOVERNOR 

Executive Orders, 401, 491, 626, 791, 903, 1087, 1155, 1351, 1464 

HUMAN RESOURCES 

Aging, Division of, 121, 346 

Day Care Rules, 123 

Economic Opportunity, 5 

Facility Services, 111, 177, 496, 634, 980, 1352 

Medical Assistance, 4, 415, 496, 816, 989, 1156, 1295, 1391 

Mental Health, Developmental Disabilities and Substance Abuse Services, 111, 297, 409, 809, 1092, 1276 

Social Services Commission, 183, 911, 1471 

INDEPENDENT AGENCIES 

Housing Finance Agency, 450, 576, 928, 1219 

INSURANCE 

Actuarial Services Division, 1411 

Agent Services Division, 1410 

Consumer Services Division, 125, 1157 

Departmental Rules. 7. 1095, 1405 

Engineering and Building Codes, 19, 643 

Financial Evaluation Division, 1162 

Fire and Rescue Services Division, 17, 1406 

Hearings Division. 124, 1096 

Life and Health Division, 22, 347. 1167 

Property and Casualty Division. 20 

Seniors" Health Insurance Information Program, 132 

JUSTICE 

Alarm Systems Licensing Board, 27, 189, 643, 919, 1414, 1486 

Criminal Information, 1097 

General Statutes Commission, 353 

Private Protective Services, 918 

Sheriffs Education and Training. 990 

State Bureau of Investigation, 188, 499, 1413 

LICENSING BOARDS 

Architecture, 1111 

Certified Public Accountant Examiners, 355 



1639 7:15 NORTH CAROLINA REGISTER November 2, 1992 



CUMULATIVE INDEX 



Chiropractic Examiners, 1416 

Cosmetic Art Examiners, 360, 922 

Dietetics/Nutrition, 923 

Electrolysis Examiners. 69, 700 

Medical Examiners, 1304, 1417 

Nursing, Board of, 232, 700, 1528 

Pharmacy, Board of, 1418 

Professional Engineers and Land Surveyors, 566 

Speech and Language and Pathologists and Audiologists, 705 

LIST OF RULES CODIFIED 

List of Rules Codified, 72, 362, 452, 584 

PUBLIC EDUCATION 

Departmental Rules, I 108 
Elementary and Secondary, 852, 1 108 

REVENUE 

License and Excise Tax, 712 
Motor Fuels Tax, 361 

STATE PERSONNEL 

Office of State Personnel, 237, 705, 1113, 1419 

TAX REVIEW BOARD 

Orders of Tax Review, 494 

TRANSPORTATION 

Highways, Division of, 228, 856, 1062, 1110 
Motor Vehicles, Division of, 68, 142 



7:15 NORTH CAROLINA REGISTER November 2, 1992 1640 



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